Joanna C. Hendon
Joanna 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 comment that “she’s very thoughtful, super-smart and she thinks about all the angles,” adding that “she takes a very sophisticated approach to complicated matters.”
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 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 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:
- Former Dell Inc. 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);
- Former Primary Global Research expert at insider trading trial in United States v. Jiau, 11 Cr. 161 (JSR);
- Former analyst at hedge fund in SEC investigation of insider trading in the securities of Herbalife Ltd.;
- Physician in SEC investigation of alleged insider trading by client and his son;
- Employees of privately-held company in connection with investigation of tax and healthcare fraud by the U.S. Attorney’s Office;
- Former executive of media company in connection with investigation of accounting fraud by the U.S. Attorney’s Office;
- 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;
- Director of not-for-profit in public corruption investigation by the U.S. Attorney’s Office;
- Medical devices company in connection with disclosure to OFAC of unlicensed shipments of goods to Iran;
- Securities lawyer in investigation by the SEC of alleged market manipulation scheme;
- Chief Compliance Officer of broker-dealer in connection with investigation by FINRA of alleged anti-money laundering and supervisory violations;
- Employees and former employees of various investment banks in investigations by the SEC, CFTC, and State Attorneys General related to the origination and sale of mortgage-backed securities, the alleged manipulation of dollar LIBOR submissions, and the alleged manipulation of the ISDA Fix;
- Former Citigroup, Inc. managing director in connection with SEC investigation concerning CDO transaction and in testimony at the trial of SEC v. Brian Stoker;
- Goldman Sachs & Co. managing director in connection with SEC investigation concerning CDO transaction and in testimony at the trial of SEC v. Fabrice Tourre (with partner Linda Imes); 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:
- Political consultant in litigation to quash on First Amendment, pre-emption, and related grounds subpoenas issued by the Moreland Commission on Public Corruption;
- Fixed income salesman in lawsuit brought by investor against salesman and former employer for fraudulently failing to disclose the risks associated with mortgage-related securities acquired on behalf of the client;
- Mortgage electronic registration system in consumer fraud lawsuit brought by the New York Attorney General, in People of the State of New York v. JP Morgan Chase Bank, N.A., et al., No. 2768/12 (Schmidt, J.);
- 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 (with partner Linda Imes);
- 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.; and
- Cable billing provider in AAA arbitration brought by Comcast Corporation (formerly AT&T Broadband).
Recent speaking engagements include:
- City Bar Association of New York, Current Ethical Issues in the Practice of Securities Law (October 2015);
- 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);
- New York State Bar Association, Commercial and Federal Litigation Section, Spring Meeting: Ethical Issues in the Investigation of Commercial and Federal Lawsuits (May 2014);
- City Bar Association of New York, 2nd Annual White Collar Crime Institute, Market Abuse, It Ain’t Just Insider Trading (May 2013);
- Practicing Law Institute, White Collar Crime 2012: Prosecutors and Regulators Speak (October 2012);
- City Bar Association of New York, Current Ethical Issues in the Practice of Securities Law (July 2012); and
- SIFMA Compliance & Legal Society Annual Seminar, Protecting Material Non-Public Information (March 2012).
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 seven 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