Joanna C. Hendon
Joanna C. Hendon has been a litigator for more than 20 years, with substantial trial experience. She has focused on white collar criminal defense, securities enforcement, and complex civil litigation. Ms. Hendon has been named by Chambers & Partners as a Leader in the Field of White-Collar Crime & Government Investigations. Chambers reports that Ms. Hendon receives widespread acclaim for her work. Sources state that she is an“‘off-the-charts brilliant’ attorney whose ‘ability to take charge and put you at ease’ is regarded by clients as an ‘incredible’ asset.’‘ According to Chambers, Ms. Hendon “fields an impressive string of recent victories in criminal cases, including at the appellate level.”
Early in her career Ms. Hendon was a federal prosecutor in the Southern District of New York. There, she served in the Securities and Commodities Fraud Unit and prosecuted cases involving securities fraud, bribery, mail and wire fraud, and tax fraud. During her years as a prosecutor, Ms. Hendon tried numerous cases and argued appeals in the U.S. Court of Appeals for the Second Circuit. In 2000, Ms. Hendon received the U.S. Attorney General’s John Marshall Award, the Department of Justice’s highest award for excellence at trial.
Ms. Hendon has tried cases in federal court and to arbitrators. In 2017, she defended at trial in the Southern District of New York an investment advisor accused of securities fraud, investment advisor fraud, and other crimes. In 2011, she defended the first of the “expert network” insider trading cases brought to trial in the Southern District of New York. Ms. Hendon has represented institutions and individuals in investigations by and matters involving the U.S. Attorney’s Office, the SEC, the Federal Reserve, the New York Department of Financial Services, the CFTC, FINRA (formerly the New York Stock Exchange and NASD), the New York Attorney General’s Office, and other state Attorneys General and regulators. Ms. Hendon’s work frequently involves representing clients facing more than one government investigation at a time and civil litigation.
Criminal and Securities Enforcement Matters
Representative criminal and securities enforcement matters include:
- Investment advisor, at trial, on criminal charges of market manipulation and investment advisor fraud in United States v. Edward Durante, et al., 15 Cr. 171 (ALC);
- Former Dell Inc. investor relations employee accused of leaking material non-public information to securities analysts in United States v. Newman, et al., S3 12 Cr. 121 (RJS), and United States v. Steinberg, S4 12 Cr. 121 (RJS);
- Bank employee in investigations by the Federal Reserve, the U.S. Attorney’s Office, and the N.Y. Department of Financial Services concerning leaked confidential supervisory information;
- Chief Compliance Officer in investigation by FINRA of alleged anti-money laundering and supervisory violations at broker-dealer;
- New York City employees in investigation by the U.S. Attorney’s Office of alleged corruption by the Office of the Mayor;
- Former counsel to global law firm in investigation by the U.S. Attorney’s Office concerning the origination of “STOLI” life insurance products;
- Senior traders in investigations by the Department of Justice, the SEC, the CFTC, and State Attorneys General concerning the origination and sale of RMBS, the alleged manipulation of dollar LIBOR submissions, and the alleged manipulation of the ISDA Fix;
- Traders and salespeople in investigations by FINRA and the SEC of alleged misrepresentations concerning the pricing of RMBS in the wake of the prosecution of United States v. Litvak, 13 Cr. 019 (JCH);
- Former Primary Global Research expert at insider trading trial in United States v. Jiau, 11 Cr. 161 (JSR);
- Hedge fund analyst in SEC investigation of insider trading in the securities of Herbalife Ltd.;
- Former owner of construction company in connection with investigation of alleged fraud and tax violations by the Antitrust Division of the U.S. Attorney’s Office;
- Sales managers of AbbVie (formerly Abbott Laboratories) in U.S. Attorney’s Office investigation of alleged off-label marketing of Depakote;
- Medical devices company in connection with disclosure to OFAC of unlicensed shipments of goods to Iran; and
- Expert appraisal firm retained by hedge fund in connection with SEC settlement concerning the valuation of illiquid securities.
Notable representations in complex civil litigation include:
- Former CFO of public company in class action and shareholder derivative litigation alleging securities fraud and violations of state law by corporation and its officers and directors;
- Real estate developers in investigation by the United States Attorney’s Office for the Southern District of New York (Civil Division) of alleged Fair Housing Act violations and in ensuing civil litigation; and
- Investment bank in insurance coverage litigation filed against insurer for failure to cover expenses incurred defending criminal and civil investigations and litigation arising from, inter alia, the collapse of Enron Corp.
Recent speaking engagements include:
- Forum on Corporate Enforcement, Prosecuting Accidents or Negligence: The Resurgence of Collective Knowledge and Collective Intent (May 2017);
- Practicing Law Institute, Lessons Learned from Recent Criminal Trials: Expert Witnesses (June 2016);
- Forum on Corporate Enforcement, Pushing the Envelope in National Security, Asset Recovery and Money Laundering Enforcement (May 2016);
- City Bar Association of New York, Current Ethical Issues in the Practice of Securities Law (October 2015, July 2014);
- Yale Law School Center for the Study of Corporate Law, Insider Trading After U.S. v. Newman (September 2015);
- City Bar Association of New York, Current Ethical Issues in the Practice of Securities Law (July 2014); and
- City Bar Association of New York, 2nd Annual White Collar Crime Institute, Market Abuse, It Ain’t Just Insider Trading (May 2013).
Ms. Hendon is a member of the New York Council of Defense Lawyers, the Association of the Bar of the City of New York, and the New York State Bar Association. For the past ten years she has co-chaired the White Collar Litigation Committee of the NYSBA. Between 2009 and 2012 she was an adjunct professor at Fordham Law School, where she co-taught a course entitled Fraud, Insider Trading and Other Securities Law Topics. Ms. Hendon serves on the Advisory Board of the Yale Law School Center for the Study of Corporate Law. She is a member of the Steering Committee of the Forum on Corporate Enforcement.
• J.D., Yale Law School, 1991
• B.A., (Hon.), University of British Columbia, 1987
• New York
• Southern and Eastern Districts of New York
• U.S. Court of Appeals for the Second Circuit
• The Honorable Frank M. Coffin, U.S. Court of Appeals for the First Circuit, 1991-1992