Joanna C. Hendon
Joanna C. Hendon has been a litigator for more than 25 years, with substantial trial experience. She focuses on white collar criminal defense, securities enforcement, and complex civil litigation and trial. Chambers & Partners 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.”
Among recent successes, in May 2019, Chambers shortlisted Ms. Hendon for its prestigious New York White Collar Crime & Government Investigations Lawyer of the Year award; also in 2019, Ms. Hendon obtained declinations from FINRA on behalf of a financial institution and its senior trader following a three-year enforcement investigation of alleged fraud in the purchase and sale of RMBS; and in 2018, Ms. Hendon won on behalf of Donald J. Trump, the President of the United States, as intervenor, the right to review for attorney-client privilege and application of the work product protection materials seized by the U.S. Attorney’s Office for the Southern District of New York from Michael D. Cohen.
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 CFPB, the Federal Reserve, 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 (but never charged with) 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);
- Financial institution in a FINRA enforcement investigation of alleged violations of Section 5 of the Securities Act of 1933 and failure to maintain adequate AML procedures and controls;
- Financial institution and employees in FINRA enforcement investigation of alleged fraud in the purchase and sale of RMBS;
- 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;
- Loan servicer in investigation by CFPB of certain servicing practices;
- Former counsel to global law firm in investigation by the U.S. Attorney’s Office concerning the origination of “STOLI” life insurance products;
- Sales managers of AbbVie (formerly Abbott Laboratories) in U.S. Attorney’s Office investigation of alleged off-label marketing of Depakote; and
- Medical devices company in connection with disclosure to OFAC of unlicensed shipments of goods to Iran.
Notable representations in complex civil litigation include:
- Manhattan real estate developer in civil actions filed in the Southern District of New York alleging violations of the Fair Housing Act;
- Corporation and senior executives in putative class action filed in the Southern District of New York alleging violations of RICO and fraud;
- 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; and
- 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.
Recent speaking engagements include:
- Yale Law School, Marvin A. Chirelstein Colloquium, Protecting Attorney-Client Privilege in a High Profile Case (September 2019);
- National Association of Criminal Defense Lawyers, West Coast White Collar Conference, The Mueller Investigation: What Have We Learned and What Can We Learn?
- New York Council of Defense Lawyers, Current Issues in Rule 17(c) Practice (November 2018);
- Yale Law School, Marvin A. Chirelstein Colloquium, Why I Love Practicing Law: From Paul Weiss, the DOJ and Merrill Lynch to Boutique White Collar Defense (April 2018);
- 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); and
- Forum on Corporate Enforcement, Pushing the Envelope in National Security, Asset Recovery and Money Laundering Enforcement (May 2016).
Ms. Hendon is a member of the Board of Directors 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. Ms. Hendon serves on the Advisory Board of the Yale Law School Center for the Study of Corporate Law.
• 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