Overview
Jim Brochin focuses his practice on white-collar defense, FCPA, government regulatory matters, internal investigations, and complex civil litigation. Much of the work he has done in these areas in recent years has been for clients in the financial services industry. Jim represents both corporations and their executives in a wide variety of government investigations, including high-profile investigations by the US Department of Justice, the New York State Attorney General's Office, and the Securities and Exchange Commission. He also has significant experience with the New York Department of Financial Services. Jim's work over the past several years has included a number of cross-border investigations for major multinational corporations, as well as a variety of complex civil matters in areas ranging from securities fraud and shareholder derivative suits to ERISA and antitrust.
Along with his many years of private practice experience, Jim brings prosecutorial experience having served as an associate independent counsel in the investigation of former Agriculture Secretary Mike Espy.
Jim also devotes his time to significant pro bono work for the Innocence Project, where has co-authored briefs addressing the law concerning eyewitness identification evidence in courts throughout the country.
- New York
- New Jersey
- District of Columbia
- Hon. Kimba M. Wood, US District Court, Southern District of New York, 1991-1991
- J.D., Yale Law School, 1990
- B.A., Yale University, 1984
Areas of Work
Representative Matters
Criminal and Regulatory Matters
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Representation of an executive of a Swiss bank in an investigation of the bank by DOJ for tax fraud.
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Representation of the chief accounting office of a publicly traded company in an SEC investigation of expense fraud and accounting irregularities.
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Representation of several executives of a multinational food processing company in connection with a DOJ and SEC investigation into alleged violations of the FCPA in Russia and India.
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Representation of a major international financial institution in regulatory investigations into allegations of manipulation of a benchmark interest rate.
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Representation of a major custody bank in regulatory investigations regarding foreign exchange practices
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Representation of a major financial institution in an investigation by DOJ and SEC into alleged FCPA violations in connection with hiring practices outside the US.
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Representation of an international real estate firm in a DOJ and SEC investigation into possible FCPA violations in connection with the proposed purchase of a major real estate project in Asia.
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Representation of three Fortune 500 pharmaceutical corporations in separate Justice Department investigations into alleged off-label marketing.
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Representation of the Chairman of a major Swiss bank in Justice Department and SEC investigations into tax fraud and securities violations arising out of the bank’s cross-border private banking business.
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Representation of the former Chief of Staff to the Vice President in his highly publicized trial and subsequent proceedings.
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Representation of former New York Governor Eliot Spitzer.
Internal Investigations
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Representation of a Japanese multinational manufacturer in an internal investigation into possible accounting fraud.
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Representation of a Japanese pharmaceutical company in an internal investigation into allegations of off-label marketing.
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Representation of the audit committee of a technology company in an internal investigation relating to possible OFAC violations.
Civil Litigation
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Representation of a publicly traded software company in obtaining the dismissal of shareholder derivative suits arising out of allegations of misconduct against its former CEO.
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Representation of a tech company founder in litigation brought by the company’s lead investor.
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Representation of a major international financial institution in a suit alleging violations of the antitrust and market manipulation laws.
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Representation of Swiss Re in obtaining the dismissal of class action litigation concerning its write-down of credit default swaps.
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Representation of a major tobacco company in defense of one of the largest civil RICO cases ever brought.
News & Publications
Press Releases
Steptoe Grows White-Collar Practice with Addition of Jim Brochin in New York
September 24, 2018
Noteworthy
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Legal 500 US, Corporate Investigations and White-Collar Criminal Defense (2019)
Previous Employment
- Associate Independent Counsel, US Office of the Independent Counsel (1995-1996)
Professional Affiliations
- Lawyers Advisory Committee, Innocence Project