Robert J. Giuffra Jr.
Sullivan & Cromwell LLP
125 Broad Street
New York, NY 10004
212-558-3588 (firm fax)
Robert J. Giuffra, Jr.
Robert Giuffra is a partner in Sullivan & Cromwell’s Litigation Group. He joined the Firm in 1989, after serving as a law clerk to Chief Justice William Rehnquist of the U.S. Supreme Court and to Judge Ralph Winter of the U.S. Court of Appeals for the Second Circuit.
Mr. Giuffra is now recognized as one of the nation’s leading litigators. He focuses on “bet-the-company,” securities, white-collar criminal, commercial, insurance, banking and tax litigation. He is a member of Sullivan & Cromwell’s Management Committee and the coordinator of the Firm’s Securities Litigation practice.
For over twenty years Mr. Giuffra has represented prominent corporations and individuals in their most challenging civil and criminal cases, including at trial and on appeal in federal and state courts around the United States, before arbitration panels, and in investigations involving the SEC, the Department of Justice, U.S. and non-U.S. bank regulators, the U.S. Congress, the Internal Revenue Service, and the New York State Attorney General. He regularly advises senior executives and boards of directors in internal governance matters.
Mr. Giuffra has participated in litigations and government investigations arising out of the recent financial crisis, the bankruptcy of Enron, the accounting fraud at HealthSouth Corporation, and specialist trading on the New York Stock Exchange. He has represented many of the world’s leading financial institutions, including Bank of America, The Bank of New York, Citigroup, Goldman Sachs, ING, Morgan Stanley, Natixis, Société Générale and UBS. His corporate clients have included Biovail, CA, Exxon, Philips Electronics, Porsche, Tenaris, Tudor Investment Corporation, UnitedHealth Group, and Vornado Realty Trust. Other clients have included Société Nautique de Genève, the two-time defender of the America’s Cup sailing trophy, the New York Giants and Jets NFL teams, and a major university. His individual clients have included CEOs, lawyers and senior government officials. Many of his most important matters are resolved without public attention.
Mr. Giuffra has served in all three branches of the U.S. Government. In addition to his federal judicial clerkships, Mr. Giuffra was the Chief Counsel of the U.S. Senate Committee on Banking, Housing and Urban Affairs from 1995 to 1996. He was a primary drafter of the Private Securities Litigation Reform Act of 1995. He also served in the White House.
He has been appointed by Governors of both political parties to serve in New York State Government. From 2007 to 2009, he was one of 13 members of the New York State Commission on Public Integrity. From 1998 to 2007, he served as one of the five Commissioners of the New York State Ethics Commission. While at S&C, he also was a Special Assistant District Attorney, County of New York.
Mr. Giuffra has been a leader of the Bar. From 2008 to 2010, he was President of The Federal Bar Council. He is on the Board of Editors of The New York Law Journal and the Second Circuit Judicial Conference Planning and Program Committee. He was appointed by Chief Judge Jonathan Lippman to serve on his Task Force to Expand Access to Civil Legal Services in New York and Task Force on Commercial Litigation in the 21st Century. He also is a member of the Board of Advisors of the Yale Law School Center for the Study of Corporate Law, a Director of the Alliance for Downtown New York and Downtown Lower Manhattan Association, a Trustee of the Citizens Budget Commission, and a Director of the American Swiss Foundation.
He frequently speaks on securities class actions, government and internal investigations, and corporate governance, including at Yale Law School, Harvard Business School, the Wharton School and the University of Chicago Law School. He has testified before the U.S. Senate Judiciary Committee and participated in many hearings of the U.S. Senate Banking Committee.
- Lead counsel to nine large financial institutions in separate fraudulent conveyance and Article 78 actions in New York State court against MBIA Inc. and its subsidiaries challenging their 2009 multi-billion dollar restructuring. In June 2011, The Am Law Litigation Daily recognized Mr. Giuffra as its “Litigator of the Week” for winning the appeal in the New York State Court of Appeals sustaining the fraudulent conveyance action.
- Counsel to UBS in significant pending matters, including in a putative securities class action arising out of UBS’s subprime losses and settlement of government investigations involving its cross-border business. Recently obtained the dismissal of all claims brought by all UBS shareholders who purchased shares on foreign exchanges, which eliminated more than 85% of the theoretical damages. Earlier, obtained the dismissal of a putative ERISA class action against UBS involving UBS subprime losses and cross-border business.
- Represented Porsche in obtaining the 2010 dismissal of federal securities claims seeking more than $2.5 billion arising out of Porsche’s takeover bid for Volkswagen.
- Defended Vornado Realty Trust in obtaining the dismissal of actions by Donald Trump challenging the sale of the “Riverside South” properties on the West Side of Manhattan. Trump claimed the sale price undervalued these properties by more than $1 billion.
- Counsel to The Clearing House Association in litigation over the disclosure of confidential bank data concerning Federal Reserve Discount Window lending during the recent financial crisis.
- Counsel to the Audit Committee of Tenaris, a leading global manufacturer of steel pipe, in an internal investigation of Foreign Corrupt Practices Act issues. Then, represented Tenaris in resolving Department of Justice and SEC investigations, including in obtaining the first-ever deferred prosecution agreement in an SEC investigation.
- Represented UBS, the lead investment banker for HealthSouth, in lengthy government investigations and federal and state civil litigations. The government investigations resulted in no action against UBS. After obtaining the dismissal of certain claims, UBS settled the civil litigation for a fraction of the claimed damages.
- 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.
- Defended UnitedHealth in obtaining, and defending on appeal, dismissal of action on behalf of hedge funds seeking to accelerate $850 million of UnitedHealth’s notes.
- Counsel to UBS in multiple Enron litigations, including in obtaining the dismissal of securities claims 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.
- Represented 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 guidance 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 obtaining the dismissal of putative multi-state class actions by Oxford customers and medical providers challenging various Oxford business practices.
- Counsel to 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 seeking over $350 million for the alleged breach of a multi-million dollar merger agreement with Northeast Bancorp.
- Counsel to Lewis Ranieri, a pioneer in mortgage finance and former Vice Chairman of Salomon Brothers, in obtaining dismissal, affirmed on appeal, of putative securities class actions arising out of the failure of Franklin Bank.
- Represented Steven Roth, Chairman and CEO of Vornado Realty Trust, at trial and on appeal, in obtaining the dismissal of 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 David Duncan, former lead Arthur Andersen engagement partner for Enron. Following reversal of Arthur Andersen’s conviction, the federal court granted a motion to vacate Mr. Duncan’s guilty plea.
- Represented E. Robert Wallach, counsel to former U.S. Attorney General Edwin Meese (Wedtech investigation), in connection with the reversal by the 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.
- Defended Albert Pirro, husband of then Westchester County, New York District Attorney Jeanine Pirro, in a federal criminal tax trial. Obtained pre-trial dismissal, affirmed on appeal, of a portion of the indictment.
Rankings and Recognitions
- Financial Times US Innovative Lawyers – Selected as one of 10 leading legal innovators (2011)
- 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) (2008-2012), Securities Litigation (National) (2011, 2012), and a Local Litigation Star for General Commercial Litigation, Securities Litigation and White-Collar Crime Litigation (New York) (2008-2012)
- Chambers USA: America’s Leading Lawyers for Business – recognized as a leading litigator in Securities (2004-2012), White-Collar Crime & Government Investigations (2004-2006) and General Commercial (2007-2012)
- Euromoney’s Guide to the World’s Leading Litigation Lawyers – recognized as a leading global litigation lawyer (2012)
- The Best Lawyers in America and The Best Lawyers in New York – recognized for both Commercial Litigation (General) and White-Collar Criminal Defense (2005-2012), as well as Bet-the-Company Litigation and Banking and Finance Litigation (2011, 2012) and Securities Litigation (2012)
- Law360 MVP – selected as one of seven lawyers nationwide who have “raised the bar” in the area of securities law (2011)
- International Tax Review’s Tax Disputes/Controversy Leaders Guide – recognized in the inaugural edition as a leading lawyer in tax disputes and controversy (2011/2012)
- The International Who’s Who Legal – recognized for Commercial Litigation (2010, 2011)
- The Legal 500 US – recognized as one of ten “Leading Lawyers” nationwide in Securities: Shareholder Litigation (2010-2012); Recommended Lawyer for Securities: Shareholder Litigation (2007-2009), SEC Investigation and Enforcement (2007) and Corporate Governance and SEC Investigations (2006-2007, 2010)
- New York Super Lawyers – recognized in Securities Litigation (2006-2011), and selected as one of “The Top 100 New York Super Lawyers” (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, 2011), 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)
- Broker-Dealer Regulation
- Commodities, Futures and Derivatives
- Corporate Governance
- Criminal Defense and Investigations
- Financial Institutions
- Intellectual Property and Technology
- Mergers & Acquisitions
- Real Estate
- Securities Litigation
- Healthcare and Life Sciences
- 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
S&C Featured in The Lawyer's Litigation Top 50 Report 2011
December 5, 2011
Bob Giuffra Profiled by Law360 for Being Named 2011 MVP
November 15, 2011
Three S&C Lawyers Named to Law360’s MVP 2011 List
Bob Giuffra Quoted in Wall Street Journal Article on UBS AG Case Ruling
September 13, 2011
SEC Filings Delays Found Not to Permit Bondholders to Accelerate Repayments
New York Law Journal, Vol. 240, Page 4, Col. 1
Attorney's Fees: To Advance or Not to Advance?
New York Law Journal, Page 4, Col. 3
Events & Speaking Engagements
Chambers USA General Counsel Seminar
June 6, 2012
Federal Bar Council's Winter Bench & Bar Conference
February 6, 2012
Yale Law School Lecture on Securities Litigation
December 14, 2011
Wharton Finance Conference
November 5, 2010
Making Corporate Boards More Effective
July 30, 2010
A top securities litigator, Giuffra knocked out two huge wins last year, persuading a judge to trim billions from a class action against UBS for mortgage backed securities, and an appeals court to allow a consortium of banks to bring $5B worth of claims that MBIA defrauded them when it restructured its holdings.
Busy on defense side work for institutions caught up in the subprime crisis, this fearless litigator also is representing major U.S. and foreign banks pursuing claims against bond insurer MBIA and the New York State Insurance Department.
Giuffra represents global companies and their executives in high-profile government investigations and class actions and recently won presidential 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.
|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.|
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