EDITORIAL REVIEW

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Giuffra represents global companies and their executives in high-profile government investigations and class actions and recently won precedential appellate rulings for CA and UnitedHealth.



Giuffra's ethical guidance and top litigation skills facilitate great outcomes for clients like Computer Associates' Audit Committee, UBS or a host of high-profile individuals who faced down daunting legal risk.


Large corporate defense matters, like those of Computer Associates, land on his plate.




VISITOR RATINGS (on a scale of 1 to 10 with 10 being best)

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MAURICE LEIBENSTERN, Chief Counsel, CA, Inc.
relationship: represented me (Internal Investigation) rates/fees: Reasonable. comments: Unsurpassed quality, cost effectiveness and experience. Resources of S&C provided through superb counsel with uncanny ability to provide legal advice in practical, understandable fashion, always mindful of business impacts and long term effects. Reputation of attorney as highly ethical, knowledgeable, trustworthy and reliable found hidden benefits throughout matters, as Governmental entities could rely on company representation. Highest quality experience with unqualified recommendation.	service 10 expertise 10 quality 10 overall 10 recommend? yes

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MENACHEM ROSENSAFT, General Counsel, Van der Moolen Specialists USA, LLC
relationship: represented me (SEC and NYSE investigations, securities class actions, etc.) rates/fees: The rates are high, but Bob Giuffra definitely deserves them. comments: Bob Giuffra is an outstanding lawyer who is always available, provides thoughtful and effective counsel, and has superb litigation instincts. He has been and continues to be a most valued advisor.	service 10 expertise 10 quality 10 overall 10 recommend? yes

Contact Lawdragon about the information in this review.

Robert J. Giuffra, Jr.
Partner
New York
 
Phone +1-212-558-3121
Fax +1-212-558-3588
 
Robert Giuffra is a partner in Sullivan & Cromwell's Litigation Group. His practice focuses on complex securities, white-collar criminal, class action, commercial, insurance, banking, and tax litigation. He is the Coordinator of the Firm’s Securities Litigation Practice, the Co-Head of Business Development, and a member of the Firm’s Management Committee.

He has represented corporations and individuals at trial and on appeal in federal and state civil and criminal litigation, before arbitration panels, and in investigations and proceedings involving the Securities and Exchange Commission, the U.S. Department of Justice, the U.S. Congress, the Internal Revenue Service, and the New York State Attorney General. He regularly advises senior executives and boards of directors on significant litigation and regulatory matters.

Mr. Giuffra's corporate clients have included The Bank of New York, Computer Associates, Exxon Corporation, Goldman Sachs, ING Group, Oxford Health Plans, Philips Electronics, Tudor Investment Corporation, UBS, UnitedHealth Group, Van der Moolen, and Vornado Realty Trust. His individual clients have included prominent executives, lawyers, and government officials.

He currently represents clients in government investigations and securities class actions arising out of the subprime mortgage crisis; the bankruptcy of Enron; the accounting fraud at HealthSouth Corporation; and specialist trading on the New York Stock Exchange.

Selected Cases: Corporate Clients

• Counsel to UBS in significant pending matters involving subprime securities, HealthSouth Corporation and Enron. Obtained the dismissal of a federal securities action by an investment management company seeking ¥18.5 billion in alleged damages for an investment in Enron credit-linked notes, and the dismissal of NASD arbitrations brought by UBS customers involving Enron securities.
• Counsel to the Audit Committee of the Board of Directors of Computer Associates in an internal investigation of accounting fraud and obstruction of justice by senior executives. Then, represented Computer Associates in resolving Department of Justice and SEC investigations, including negotiating a deferred prosecution agreement.
• Counsel to CA, in successfully arguing to the Delaware Supreme Court that a proposed shareholder bylaw requiring the mandatory reimbursement of proxy solicitation expenses of short slate candidates was invalid. In ruling in the first case ever certified by the SEC to the Delaware Supreme Court, the Court set forth important guidelines on the permissible scope of shareholder bylaw proposals.
• Counsel for Oxford Health Plans, in obtaining the dismissal of an action by the State of Connecticut alleging ERISA violations by Oxford and seven other managed care organizations; in government investigations and related securities class action and derivative litigation arising out of the 1997 collapse of Oxford’s stock price; in the successful arbitration of a claim seeking rescission of a multi-million dollar reinsurance contract; and in class actions by Oxford customers and medical providers challenging various Oxford business practices.
• Represented UnitedHealth in obtaining, and defending on appeal, dismissal of action on behalf of hedge funds seeking to accelerate $850 million of UnitedHealth's notes.
• Represented leading banking associations in obtaining favorable rulings from the U.S. Supreme Court barring “scheme” liability under Section 10(b) of the Securities and Exchange Act (Stoneridge) and limiting the power of the States to regulate the operating subsidiaries of national banks (Watters).
• Following trial, obtained judgment for Philips Electronics in Lanham Act action brought by Gillette over advertising for electric razors.
• Represented The Bank of New York in litigation over a merger agreement with Northeast Bancorp.

Selected Cases: Individual Clients

• Represented Steven Roth, Chairman & CEO of Vornado Realty Trust, at trial and on appeal in obtaining the dismissal of civil federal securities claims.
• Counsel to lawyer Armand D'Amato, brother of then U.S. Senator Alfonse D’Amato, in obtaining the dismissal by the U.S. Court of Appeals for the Second Circuit of all federal criminal charges against him.
• Represented E. Robert Wallach, counsel to former U.S. Attorney General Edwin Meese (Wedtech investigation), in connection with reversal by U.S. Court of Appeals for the Second Circuit of his federal criminal conviction and, after a jury failed to reach a verdict at his retrial, the subsequent dismissal of all charges against him.
• Represented David Duncan, former lead Arthur Andersen engagement partner for Enron. Following reversal of Arthur Andersen’s conviction, federal court granted motion to vacate Mr. Duncan’s guilty plea.
• Defended Albert Pirro, husband of then Westchester County, N.Y. District Attorney Jeanine Pirro, in federal criminal tax trial. Obtained pre-trial dismissal, affirmed on appeal, of portion of indictment.

Government Service

• From 2007 to 2009, Mr. Giuffra served as one of 13 members of the New York State Commission on Public Integrity, which interprets, administers and enforces the ethics and lobbying laws governing New York State government.
• From 1998 to 2007, Mr. Giuffra served as one of the five Commissioners of the New York State Ethics Commission, which interpreted, administered and enforced the ethics law governing the Executive Branch of New York State government.
• From 1995 to 1996, Mr. Giuffra served as the Chief Counsel of the U.S. Senate Committee on Banking, Housing, and Urban Affairs. He was a primary drafter of the Private Securities Litigation Reform Act of 1995.
• In 1994, Mr. Giuffra served on the Criminal Justice Advisory Committee of New York Governor-Elect George E. Pataki.
• From 1991 to 1992, while at Sullivan & Cromwell, he served as a Special Assistant District Attorney, County of New York.

Professional Activities and Community Involvement

• The Federal Bar Council - President
• The New York Law Journal – Board of Editors
• Second Circuit Judicial Conference Planning and Programming Committee – Member
• Yale Law School Center for the Study of Corporate Law – Board of Advisors
• Alliance for Downtown New York and Downtown-Lower Manhattan Association – Director
• American Ballet Theatre – Trustee
• Frequent speaker on securities class actions and government and internal investigations.

Rankings and Recognition

• Directorship magazine– Selected as one of the 100 "most influential people on corporate governance and in the boardroom" (2008, 2009)
• Recipient, 2008 Burton Award for Legal Achievement
• Euromoney's Benchmark: America's Leading Litigation Firms and Attorneys - Recognized as a Star for General Commercial Litigation (National) and Litigation (New York) (2008, 2009, 2010)
• Chambers USA: America's Leading Lawyers for Business – Recognized as a leading litigator in Securities (2004, 2005, 2006, 2007, 2008, 2009), White-Collar Crime & Government Investigations (2004, 2005 and 2006) and General Commercial (2007, 2008, 2009)
• The Best Lawyers in America and The Best Lawyers in New York – Recognized for both Commercial Litigation (General) and White-Collar Criminal Defense (2005, 2006, 2007, 2008, 2009, 2010)
• The Legal 500 US, Volume 3: Litigation - Recommended Lawyer for Securities: Shareholder Litigation (2007, 2008, 2009) and for SEC Investigation and Enforcement (2007)
• The Legal 500 US, Volume 1: Corporate & Finance - Recommended Lawyer for Corporate Governance and SEC Investigations (2006 and 2007)
• New York Super Lawyers - Recognized in Securities Litigation (2007, 2008, 2009, 2010), selected as one of "The Top 100 New York Super Lawyers", and recognized in Securities Litigation (2006)
• Lawdragon - Selected as one of "100 Lawyers You Need to Know in Securities Litigation" (2008), "500 Leading Lawyers in America" (2007, 2008, 2009-2010) and "500 Leading Litigators in America" (2006)
• Crain's New York Business – Profiled as one of "five top white-collar defense attorneys working in New York City today." (September 23, 2002)
• Roll Call – Identified as a "key member of the Congressional Ethics Bar." (January 15, 2001)
• Los Angeles Times – Identified as one of six leading "Capital Counselors" who represent "some of the nation’s best known clients." (July 30, 1998)
• The National Law Journal – Selected as one of 40 lawyers under 40 who are "Rising Stars in the Law" (November 20, 1995)

Practices

• Broker-Dealer Regulation
• Litigation
• Commodities, Futures and Derivatives
• Corporate Governance
• Criminal Defense and Investigations
• Financial Institutions
• Insurance
• Intellectual Property and Technology
• Mergers & Acquisitions
• Real Estate
• Securities Litigation
• Tax
• Healthcare and Life Sciences
• Banking

Education

• 1987, Yale Law School, J.D.
• 1983, Princeton University, A.B.

Bar Admissions

• New York

Clerkships

• Chief Justice William H. Rehnquist, United States Supreme Court, 1988 - 1989
• The Honorable Ralph K. Winter, United States Court of Appeals Second Circuit, 1987 - 1988

Country of Origin

• USA
  
  See Library Tab for articles, publications and presentations
  by Robert Giuffra

EVALUATION

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Robert Giuffra

Biography Title: Partner, Sullivan & Cromwell LLP Firm: Sullivan & Cromwell Law School: Yale Law School Graduation: 1987   Notable case(s), past or present (include date if possible): HealthSouth Securities and Derivative Litigation (for UBS) (2003 to present); Computer Associates Audit Committee Investigation and Securities Litigation (2003 to present); Enron Securities Litigation (for UBS) (2003 to present); New York Stock Exchange Specialist Litigation (for Van der Moolen) (2004 to present); Oxford Health Plans Securities Litigation (1997 to 2003); United States v. David Duncan (2002-2005); Chief Counsel, U.S. Senate Banking Committee (1995-1996); United States v. Armand D'Amato (1993-1994); United States v. E. Robert Wallach (1989-1993)   Selected clients: Computer Associates, Tudor Investment Corporation, UBS, UnitedHealth Group, Van der Moolen, Vornado Realty Trust Areas of Expertise:   Bar Memberships:   Clerkships:   Honors:

Q&A Best moment of career: Winning the Armand D'Amato and E. Robert Wallach criminal cases.   Worst moment of career: Losing a criminal trial.   Attorney you most admire: Chief Justice William Rehnquist   Favorite activities (besides the Law): Golf   Favorite Sports Team (if you have one), or Favorite Theater or Museum, etc: New York Yankees   If you weren’t a lawyer, what would you be?:   What do you read most often:   Notable law school classmates:   Why are you proud to be a lawyer?:

Lawdragon News

• Lawdragon 500 Leading Lawyers in America 2009-2010
  
  
• The Lawdragon 500 Leading Lawyers in America
  2008
  
  
• The Lawdragon 500 Leading Lawyers in America
  2007
  
  
• The Lawdragon 500 Leading Litigators in America

News

• "Fair Fight? Assistance Is Offered In Proxies" (The Wall Street Journal)
  October 26, 2009
  
  
• Rodge Cohen and Bob Giuffra Named to Directorship Magazine's 2009 Roster of the Most Influential People in America
  October 14, 2009
  
  
• Bob Giuffra Testifies Against Senate Bill to Overturn U.S. Supreme Court Decision in Stoneridge
  September 17, 2009
  
  
• "Securities Suits Up in 2008, But Might They be Uphill Battles?"
  The Wall Street Journal Law Blog - January 5, 2009
  
  
• "UnitedHealth Beats Hedge Funds in Bond-Default Case"
  Bloomberg - December 3, 2008
  
  
• "Delaware Court Rules for CA in Suit"
  The Wall Street Journal - July 18, 2008
  
  
• "Delaware Court Hears Arguments In CA-Afscme Case"
  Dow Jones News Service - July 9, 2008
  
  
• "S&C Named a 2008 Law Firm Winner of The Burton Awards for Legal Achievement"
  The Burton Awards for Legal Achievement Press Release - April 29, 2008
  
  
• "Bob Giuffra Appointed to New York State Commission on Public Integrity"
  US State News - September 21, 2007
  
  
• "Debating 'Scheme Liability'"
  The Wall Street Journal (online) - July 19, 2007
  
  
• "10A Probes: The Auditor As First Responder"
  Compliance Weekly - January 9, 2007
  
  
• "Sullivan's Big Save"
  The American Lawyer - January 1, 2006
  
  
• "Critics of Shareholder Suits Aim at Big Holders"
  The New York Times - October 27, 2005
  
  
• "Moving the Market"
  The Wall Street Journal - June 13, 2005
  
  
• "A Nightmare Deferred"
  Corporate Counsel - June 1, 2005
  
  
• "Legal Reform Turns a Steward into an Activist"
  The New York Times - April 16, 2005
  
  
• "Dodging a Bullet; Royal Ahold Shows the Benefits of Cooperation With the SEC"
  New York Law Journal - 11/4/2004
  
  
• "Changing Partners: Why Computer Associates Left Wachtell for Sullivan & Cromwell" American Lawyer - November 1, 2004
  
  
• "Bar Council, Foundation Elect New Officers"
  New York Lawyer.com - 10/25/2004
  
  
• "In CA Probe: Recovered E-Mails, Surprise Cache of Documents"
  The Wall Street Journal - 9/24/2004

Publications

• SEC Filings Delays Found Not to Permit Bondholders to Accelerate Repayments
  New York Law Journal, Vol. 240, Page 4, Col. 1 - December 29, 2008
  
  
• Attorney's Fees: To Advance or Not to Advance?
  New York Law Journal, Page 4, Col. 3 - September 5, 2007
  
  
• A Tribute to Chief Justice William H. Rehnquist
  Stanford Law Review, Vol. 58, No. 6, Page 1675 - April 2006
  
  
• The Message Minefield
  New York Law Journal - October 7, 2004
  
  
• E-mail: The Prosecutor's New Best Friend
  Business Crimes Bulletin, Vol. 10, No. 6, Page 1 - July 2003
  
  
• Trying the Business Crimes Case: Strategies to Help Your Client Win
  Business Crimes Bulletin, Vol. 8, No. 7 - August 2001
  
  
• The Gavel Gap
  The New York Times, page A21 - January 23, 2001
  
  
• Winning the End Game: Jury Deliberations
  Business Crimes Bulletin, Vol. 7, No. 9, Page 3 - October 2000
  
  
• Don't Ignore Pretrial Motions in Federal Criminal Cases
  Business Crimes Bulletin, Vol. 7, No. 1, Page 1 - February 2000
  
  
• CEOs Beware: The Strike Suit Lives
  Wall Street Journal, Page A45 - September 13, 1999
  
  
• Pleading Scienter Under the PSLRA
  New York Law Journal, Vol. 222, Page 5 - July 22, 1999
  
  
• Winning Criminal Appeals: Strategies To Save Your Client
  Business Crimes Bulletin, Vol. 5, No. 10, Page 2 - October 1998
  
  
• Representing Your Client in a Congressional Investigation
  Business Crimes Bulletin: Compliance and Litigation, Vol. 4, No. 11, Page 1 - December 1997
  
  
• Criminalizing Corporate Recordkeeping After 'U.S. v. D�Amato'
  New York Law Journal, Vol. 213, Page 1 - January 4, 1995
  
  
• When Is a Legal Bill Mail Fraud?
  
  
• Minimizing the Collateral Consequences of Corporate Crime
  Business Crimes Bulletin: Compliance and Litigation, Vol. 1, No. 3, Page 1 - April 1994
  
  
• Justices Move to Sidelines
  Legal Times, Vol. XVI, No. 10, Page 522 - July 26, 1993
  
  
• The High Court's Low Profile
  The New York Times, Page A27 - June 18, 1993
  
  
• Federal Rules of Civil Procedure: 1993 Amendments
  The New York Law Journal, Vol. 209, No. 88, Page 1 - May 10, 1993
  
  
• Making Your Case Before the Second Circuit
  The New York Law Journal, Vol. 208, No. 6, Page 1 - July 9, 1992
  
  
• Making Your Case Before the Rehnquist Court
  Legal Times, Vol. XIV, No. 20, Page 24 - October 7, 1991
  
  
• The Rehnquist Court After Five Terms
  The New York Law Journal, Vol. 206, No. 21, Page 1 - July 30, 1991
  
  
• The Rehnquist Court
  University of Toledo Law Review, Vol. 22, Page 521 - Spring 1991
  
  
• The Judicial Improvements Act of 1990
  New York Law Journal, Vol. 204, No. 122, Page 1 - December 26, 1990
  
  
• Sentencing Corporations
  The American Enterprise, Vol. 1-3, Page 85 - May-June 1990
  
  
• The 1989 Supreme Court Term: Review and Outlook
  The Public Interest Law Review 1991, Vol. 1, Page 163 - 1989
  
  
• Investment Bankers' Fairness Opinions in Corporate Control Transactions
  Yale Law Journal, Vol. 96, Page 119 - 1986

Events & Speaking Engagements

• Class Action Restrictions and Other Limitations
  January 21, 2010
  
  
• Robert Giuffra Discusses Second Circuit Appeal on Federal Reserve Discount Window Records (National Public Radio)
  January 15, 2010
  
  
• Securities Regulation Course at Yale Law School
  December 14, 2009
  
  
• Harvard Business School's Making Corporate Boards More Effective Program
  June 24, 3009
  
  
• he New York State Judicial Institute's Commercial Division Update 2009
  June 18, 2009
  
  
• American Conference Institute's Advanced Forum on Securities Litigation
  May 12, 2009
  
  
• Yale Law School Center for the Study of Corporate Law's 2009 Marvin A. Chirelstein Colloquium, Contemporary Issues in Law and Business
  April 20, 2009
  
  
• Judge Winter's Securities Regulation Class
  December 16, 2008
  
  
• Harvard Business School's Executive Education Program on "Making Corporate Boards More Effective"
  November 7, 2008
  
  
• University of Chicago Law School's "Regulated Financial Institutions: High Profile Proceedings Across Differing Regulatory Regimes"
  May 8, 2008
  
  
• Judge Winter's Securities Regulation Class
  December 19, 2007
  
  
• Meeting of the Task Force on Captial Markets, Economic and Information Security of the House Republican Policy Committee
  September 10, 2007
  
  
• Yale Law School - Securities Regulation Course
  December 13, 2006
  
  
• Institutional Investor Educational Foundation's 2006 Annual Conference on Global Shareholder Activism
  November 30-December 2, 2006
  
  
• Federal Bar Council's Seventh Annual Bench & Bar Retreat
  October 27-29, 2006
  
  
• Yale Law School Center for the Study of Corporate Law, "Dealing with the Eyeshades: Accounting in the Post-Enron Era"
  October 4, 2006
  
  
• International Bar Association 2006 Annual Conference
  September 17-22, 2006
  
  
• Tulane 18th Corporate Law Institute
  March 23-24, 2006
  
  
• Defining, Measuring, and Managing Uncertainty: The CFA Institute Risk Symposium
  February 22, 2006
  
  
• Association of the Bar of the City of New York's Legal History Committee Program on The History of the Rehnquist Court
  January 19, 2006
  
  
• U.S. Chamber of Commerce's Institute for Legal Reform
  October 26, 2005
  
  
• Practising Law Institute: Corporate Counsel Forum 2005
  May 31, 2005
  
  
• The American Bar Association's 19th Annual Institute on White Collar Crime 2005
  March 4, 2005
  
  
• Federalist Society's Eighth Annual Corporate Governance Conference
  October 28, 2004
  
  
• Federal Bar Council: Electronic Discovery: Persisting Problems - Proposed New Rules
  September 29, 2004
  
  
• Federal Bar Council's Winter Bench & Bar Conference 2004
  February 20, 2004
  
  
• American Conference Institute: Advanced Forum on Professional Liability Insurance
  September 23, 2002
  
  
• Practising Law Institute: Hot Securities Issues in a Down Economy 2002: The Impact of Sudden Financial Loss
  July 9, 2002
  
  
• National Investor Relations Institute, New York Chapter: Crisis Communications Workshop
  April 30, 2002
  
  
• Federal Bar Council's Winter Bench and Bar Conference 2002
  February 19, 2002
  
  
• Directors Roundtable: National Conference on Financial Institution Liability to Customers, Shareholders & Regulators
  January 29, 2002
  
  
• The Center for Legal Policy at The Manhattan Institute, The Financial Services Forum and The U.S. Chamber of Commerce Institute for Legal Reform's Program on The Impact of Litigation on the Financial Services Industry: Class Action Lawsuits
  November 27, 2001