Partner. Stanford Law Review, Notes

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(FCPA), Internal Investigations and Crisis Management, Privacy and Data Breach, U.S. Criminal Investigations and Prosecutions NEW YORK 30 ROCKEFELLER PLAZA 26TH FLOOR NEW YORK, NY 10112 T +1 212.659.

1 PRACTICES: Litigation, Government Enforcement and Litigation, SEC Enforcement, Investment Management, Regulatory Compliance, Securities and Shareholder Litigation, Foreign Corrupt Practices Act (FCPA), Internal Investigations and Crisis Management, Privacy and Data Breach, U.S. Criminal Investigations and Prosecutions NEW YORK 30 ROCKEFELLER PLAZA 26TH FLOOR NEW YORK, NY T F David Siegal is a partner in the New York office of Haynes and Boone, and co-chair of the firm s Government Enforcement and Litigation Practice Group. His practice focuses on government enforcement defense and internal s, as well as sophisticated securities and bank fraud, complex commercial litigation, and cybercrime, data security, and BSA/AML compliance. David's representations in enforcement actions and s include: EDUCATION AND CLERKSHIPS J.D., Stanford Law School, 1992, with distinction; Stanford Law Review, Notes Editor B.A., Government, Cornell University, 1989, Phi Beta Kappa ADMISSIONS New York, 1993 COURT ADMISSIONS U.S. District Court for the Southern District of New York, 1994 U.S. Court of Appeals for the Second Circuit, 2001 U.S. Court of Appeals for the Fifth Circuit The Chief Operating Officer and Director of multiple foreign financial services companies in Tax Division corporate tax fraud into alleged multi-million dollar An investment advisory firm in a Securities and Exchange Commission "pay to play" The General Counsel of an international food chain franchise in a federal grand jury A financial advisor at a Fortune 100 financial institution in a Department of Justice insider trading The chief Anti-Money Laundering officer of a major American bank in a Department of Justice criminal AML/BSA violation Several trading and sales personnel at major international financial institutions in multiple s by the DOJ, CFTC and foreign regulators into trading, benchmarking, mark-up practices and anti-competition issues involving foreign exchange, swaps and precious metals markets The CEO and founder of international market consulting firm in indicted federal market manipulation and money laundering case Multiple employees of major international financial institution in multijurisdictional FCPA and commercial bribery Executive of a mortgage servicing subsidiary of major international financial institution in RMBS s by the DOJ, the SEC and state regulatory authorities A founder and CEO of an international oil and gas company in an FCPA relating to alleged indirect payments to a director of a government-sponsored multinational financial institution An executive of a Big Four accounting firm in international PCAOB obstruction and accounting fraud An executive of a major automobile manufacturer in DOJ relating to COPYRIGHT ALL RIGHTS RESERVED. 1

2 National Highway Traffic Safety Administration issues and related civil litigation A foreign corporation in a Bitcoin exchange related federal grand jury An internet technology executive in connection with a Computer Fraud and Abuse Act (CFAA) A hedge fund analyst in connection with a criminal expert network insider trading A Managing Director of an offshore equities trading subsidiary of a major Wall Street financial institution in connection with DOJ and SEC s into alleged trading improprieties A cash handling and processing company, advising on shifting legal landscape regarding commercial marijuana distribution A trading desk executive at a major financial institution in SEC and FINRA s relating to market access regulations Several former credit-derivatives traders of a major financial institution in connection with a FINRA concerning complex financial instrument trading practices A former investment banking division chief of a major financial institution in connection with an SEC FCPA David's complex commercial litigation and courtroom practice experience includes: Successfully obtaining summary judgment dismissing a federal civil case that sought $30 million on business tort claims against the Chief Operating Officer of major multinational financial conglomerate; he also won a highly unusual motion to invade the privilege, obtaining plaintiff s attorney-client communications, based on the "offensive use" doctrine. Successfully defending Marvel Entertainment in federal jury trial against multimillion dollar claim by inventor for breach of contract for royalties for Spider-Man Web Blaster role-play toy, resulting in full denial of claim. Representing a group of companies in the business of securitizing and servicing real estate backed loans in a $100 million breach of contract action in New York federal court. Successfully obtaining dismissal of multimillion dollar fraud and contract cases brought by investors against international oil and gas magnate in New York Supreme Court, Commercial Division. At New York State's highest court - the Court of Appeals - and below, he Representing the bar associations of each of the five counties in New York in a pro bono litigation against the City and Mayor Bloomberg, challenging the constitutionality of the City's efforts to change the system of assignment of counsel to indigent criminal defendants. Successfully obtaining preliminary injunctive relief in federal district court in New York on behalf of Krispy Kreme Doughnuts against a franchisee for Lanham Act trademark and trade secret claims. Between 1999 and 2009, David served as an Assistant United States Attorney in the COPYRIGHT ALL RIGHTS RESERVED. 2

3 criminal division of the Southern District of New York, serving as a lead prosecutor on numerous complex white collar s and prosecutions, federal criminal jury trials and Second Circuit appeals. As a member of that office's Securities and Commodities Fraud Task Force between 2005 and 2009, David investigated and prosecuted a wide variety of securities industry related matters, including accounting fraud schemes, market manipulation, insider trading and investment adviser fraud. And between 2002 and 2005, as a member of that office's Major Crimes Unit and a Computer Hacking and Intellectual Property (CHIPs) prosecutor, David handled complex fraud prosecutions involving computer technology attacks, data security and intellectual property theft, as well as crimes involving corporate insurance, bank, tax and investment fraud. David spent the first seven years of his career as a litigator with Paul, Weiss, Rifkind, Wharton & Garrison LLP and then Kronish Lieb Weiner & Hellman LLP (now Cooley Godward Kronish LLP). David has been a guest-lecturer on insider trading law to MBA students at New York University's Stern School of Business, and he regularly provides regulatory training to financial services industry clients on insider trading and anti-corruption laws and regulations. David was named Litigator of the Week, and then an MVP for White Collar by Law360, Portfolio Media, Inc., in He has been recognized by New York Super Lawyers, Thomson Reuters, in Criminal Defense: White Collar, Business Litigation, He was also recognized as one of The Best Lawyers in America, Woodward/White, Inc., in Criminal Defense: White Collar, , and Commercial Litigation, Selected Client Representations David's representations in enforcement actions and s include: Representation of Company and individuals in of trade secret theft and misappropriation of a competitor s data. The Chief Operating Officer and Director of multiple foreign financial services companies in Tax Division corporate tax fraud into alleged multi-million dollar An investment advisory firm in a Securities and Exchange Commission "pay to play" The General Counsel of an international food chain franchise in a federal grand jury A financial advisor at a Fortune 100 financial institution in a Department of Justice insider trading Several trading and sales personnel at major international financial institutions in multiple s by the DOJ, CFTC and foreign regulators into trading, benchmarking, mark-up practices and anti-competition issues involving foreign exchange, swaps and precious metals markets COPYRIGHT ALL RIGHTS RESERVED. 3

4 Multiple employees of major international financial institution in multijurisdictional FCPA and commercial bribery Executive of a mortgage servicing subsidiary of major international financial institution in RMBS s by the DOJ, the SEC and state regulatory authorities A founder and CEO of an international oil and gas company in an FCPA relating to alleged indirect payments to a director of a government-sponsored multinational financial institution An executive of a major automobile manufacturer in DOJ relating to National Highway Traffic Safety Administration issues and related civil litigation A foreign corporation in a Bitcoin exchange related federal grand jury An internet technology executive in connection with a Computer Fraud and Abuse Act (CFAA) A hedge fund analyst in connection with a criminal expert network insider trading A Managing Director of an offshore equities trading subsidiary of a major Wall Street financial institution in connection with DOJ and SEC s into alleged trading improprieties A cash handling and processing company, advising on shifting legal landscape regarding commercial marijuana distribution A trading desk executive at a major financial institution in SEC and FINRA s relating to market access regulations Several former credit-derivatives traders of a major financial institution in connection with a FINRA concerning complex financial instrument trading practices A former investment banking division chief of a major financial institution in connection with an SEC FCPA David's complex commercial litigation and courtroom practice experience includes: Successfully obtaining summary judgment dismissing a federal civil case that sought $30 million on business tort claims against the Chief Operating Officer of major multinational financial conglomerate; he also won a highly unusual motion to invade the privilege, obtaining plaintiff s attorney-client communications, based on the "offensive use" doctrine. Representing a group of companies in the business of securitizing and servicing real estate backed loans in a $100 million breach of contract action in New York federal court. Successfully obtaining dismissal of multimillion dollar fraud and contract cases brought by investors against international oil and gas magnate in New York Supreme Court, Commercial Division. At New York State's highest court - the Court of Appeals - and below, he Representing the bar associations of each of the five counties in New York in a pro bono litigation against the City and Mayor Bloomberg, challenging the constitutionality of the City's efforts to change the system of assignment of counsel to indigent criminal defendants. Successfully obtaining preliminary injunctive relief in federal district court in New York on behalf of Krispy Kreme Doughnuts against a franchisee for Lanham Act trademark COPYRIGHT ALL RIGHTS RESERVED. 4

5 and trade secret claims. Professional and Community Activities Federal Bar Council, Program Committee, Chair; Board of Directors UJA Federation of New York, Lawyers Division, White Collar and Securities Enforcement Group, Vice-chair New York Council of Defense Lawyers American Bar Association: Litigation Section and Criminal Justice Section New York State Bar Association, White Collar Crime Committee Securities Industry and Financial Markets Association, Compliance & Legal Society (SIFMA/CL) COPYRIGHT ALL RIGHTS RESERVED. 5

JASON HUSGEN. St. Louis, MO office:

JASON HUSGEN. St. Louis, MO office: JASON HUSGEN Senior Counsel St. Louis, MO office: 314.480.1921 email: jason.husgen@ Overview Clever, thorough, and with a keen knowledge of the law, Jason tackles complex commercial disputes as part of