Dan Stein

Representative Engagements

Dan’s deep experience in white collar defense and complex investigations in private practice includes:

First-Chair Criminal and Civil Trial Experience

• Lead trial counsel for Veolia North America in connection with landmark, six-month federal jury trial related to personal injury claims arising out of the Flint Water Crisis.
• Lead trial counsel for the United States in connection with more than a dozen federal criminal jury trials.
• Trial counsel to German bank in connection with federal jury trial of contract dispute.

High-Stakes Investigations Experience

• Lead counsel to global financial institution in connection with grand jury investigation of fraudulent practices relating to the collapse of the Archegos firm.
• Lead counsel to automotive parts manufacturer in connection with investigation and prosecution of the Company’s former CEO, CFO and other executives.
• Lead counsel to national chain of hospitals in connection with multiple criminal investigations by the U.S. Department of Justice, overseas prosecutors, and state authorities in connection with alleged FCPA violations and financial mismanagement.
• Lead counsel to multi-national corporation in connection with grand jury investigations of alleged money laundering related to structured finance transactions conducted in the former Soviet Union.
• Lead counsel to global advertising firm in connection with grand jury investigation of alleged FCPA violations relating to rebate payments directed to a third-party by one of the firm’s customers.
• Lead counsel to global e-commerce firm and its CEO in connection with False Claims Act investigation conducted by the office of the New York Attorney General relating to state tax treatment of certain transactions.
• Lead counsel to global financial institution in connection with a dispute over access to records sought in connection with criminal investigations conducted by the Office of Special Counsel Robert Mueller.
• Lead counsel to Brazil-based energy firm in connection with parallel grand jury and SEC investigations of alleged FCPA violations related to payments to contractors.
• Lead counsel to domestic meat packing firm in connection with grand jury investigation of alleged unlawful hiring practices.
• Lead counsel to digital advertising firm in connection with grand jury investigation of alleged sale of “bot” traffic to advertisers.
• Lead counsel to global financial institution in connection with federal False Claims Act investigation of alleged RESPA violations related to mortgage referral practices.
• Lead counsel to meatpacking firm in connection with investigation by DOJ Antitrust Division relating to alleged bid-rigging.
• Lead counsel to senior executives of life insurance companies in connection with federal grand jury investigation of an affiliated company and its principal.
• Lead counsel to New York-based business owner in connection with conspiracy prosecution related to use of funds under federal and New York City social services programs.
• Lead counsel to multiple traders at different trading firms in connection with DOJ and CFTC investigations of alleged “spoofing.”
• Lead counsel to officers of a public company in connection with SEC investigation of the company’s financial disclosures.
• Lead counsel to former high-ranking federal official in connection with investigation conducted by the Office of Special Counsel John Durham.
• Lead counsel to real estate executive investigated by the U.S. Attorney for the Southern District of New York for allegedly agreeing to pay bribes in connection with New York City real estate projects.

Criminal & Regulatory Defense Experience

• Lead counsel to global financial institution in connection with SEC enforcement action alleging violations of MSRB rules relating to municipal bond sales.
• Lead counsel to real estate investment firm in connection with federal civil forfeiture action brought by the DOJ to seize certain investment funds.
• Lead counsel to private equity firm in connection with securities fraud indictment of the firm’s founder and related SEC enforcement actions.
• Lead counsel to private equity firm in connection with securities fraud indictment of the CEO of a portfolio company and related SEC enforcement actions.
• Lead counsel to entrepreneur accused of fraud in connection with criminal charges arising out of the sprawling Varsity Blues college admission scandal.
• Lead counsel to employees of global financial institution in connection with SEC enforcement actions alleging violations of MSRB rules relating to municipal bond sales practices.
• Counsel to a bank CEO accused of illegally extending loans to Paul Manafort in exchange for Manafort’s assistance in obtaining a high-ranking position in the Trump Administration.
• Counsel to an investor accused of fraud in connection with criminal charges arising out of the We Build The Wall campaign spearheaded by former White House advisor Steve Bannon.
• Counsel to a New York-based entrepreneur facing federal criminal charges of fraud and identity theft related to an alleged fraudulent investment scheme involving the secondary market for event tickets, and related SEC enforcement proceedings.
• Counsel to a New Jersey-based investor facing federal criminal insider trading charges and a related SEC enforcement action, based on trades made on the basis of tips received from others.
• Lead counsel to investor accused of fraud and market manipulation by the SEC.

Internal Investigations Experience

• Conducted internal investigation on behalf of Special Committee of board of a consumer retail business in response to allegations of improper sales and accounting practices.
• Conducted internal investigation on behalf of Special Committee of board of a global telecommunications services business into allegations of improper accounting practices.
• Conducted internal investigation on behalf of a US-listed, global hospitality business in response to public allegations that the company had made improper use of proprietary information in bidding for a public contract.
• Conducted internal investigation on behalf of public company board in response to allegations of improper revenue recognition.
• Conducted internal investigation on behalf of US-listed manufacturing business in response to allegations of business and personal misconduct on the part of the company’s CEO.
• Conducted internal investigation on behalf of board of global financial institution in response to allegations of improper workplace relationships and culture at the bank’s United States subsidiary.
• Conducted internal investigation on behalf of the Audit Committee of the board of a domestic bank in response to whistleblower allegations brought by one of the bank’s officers.
• Conducted internal investigation on behalf of national law firm in connection with allegations of improper billing practices.
• Conducted internal investigation on behalf of global law firm in connection with allegations of extortion by one of the firm’s partners.

Experience as Independent Monitor or Examiner

• Serves as Independent Financial Monitor for New York State nursing home, pursuant to court-authorized settlement between the nursing home operator and the New York Attorney General.
• Served as Independent Examiner of a regional, US bank in response to regulatory order of Federal Reserve.

*includes matters handled prior to joining Freshfields