Lisa N. Umans

• Represented officers, executives, and employees of international financial institutions in connection with multinational criminal and regulatory enforcement investigations involving allegations of insider trading, market manipulation, accounting fraud, securities fraud, wire/mail fraud, and bank policy violations including those related to business communication policies and procedures.
• Represented multiple pools of employees of global investment banks (including over 150 individuals) in connection with investigations by the SEC and CFTC into the monitoring, archiving, and safeguarding of business-related electronic communications, including communications on employees’ personal devices.
• Advised a global investment bank in a whistleblowing investigation of alleged manipulation of its electronic trading platform.
• Represented a managing director at a global investment bank in an internal investigation and a related FINRA inquiry of potential insider trading.
• Represented employee pool at a public Fortune 50 multinational food processing and commodities trading corporation in a high-profile accounting fraud investigation conducted in SDNY.
• Counseled the Special Litigation Committee of a global technology company in connection with securities fraud and breach of fiduciary claims alleged by the New York Attorney General and shareholders.
• Represented an organ procurement organization in an investigation conducted by the United States House Committee on Oversight and Reform, Subcommittee on Economic and Consumer Policy, into mismanagement in the organ procurement industry.
• Represented senior executives at a global investment bank in connection with internal regulatory investigations conducted by The Swiss Financial Market Supervisory Authority related to the bank’s supervisory obligations with regard to risk management and appropriate organizational structures.
• Advised the former chief operating officer of a small business lending platform in an investigation conducted by the DOJ and SEC related to potential fraud, resulting in declination of prosecution.
• Represented a global bank employee in an investigation conducted by the CFTC related to potential market manipulation.
• Advised senior in-house counsel of global investment bank in connection with SEC investigation over-issuances of securities and internal control issues.
• Represented an individual in a federal antitrust case charging price fixing and bid rigging in the supply of chickens to fast food chains.
• Conducted an internal investigation on behalf of a multinational industrial manufacturing company into certain contractual practices with parts suppliers, including a review of antitrust issues associated with certain discount clauses in Master Purchasing Agreements.
• Served as chief of staff to the Independent Monitor appointed by the U.S. District Court for the SDNY to oversee the New York City District Council of Carpenters and the affiliated Taft-Hartley benefit funds, in connection with the 1994 Consent Decree that installed oversight over anti-corruption measures designed to combat organized crime’s influence over the union.
• Served as a member of the Monitor team appointed in 2021 by the U.S. District Court for the Eastern District of Michigan under a consent decree to oversee the International Union, United Automobile, and Aerospace and Agricultural Implement Workers of America, with specific responsibility to oversee the union’s historic union-wide referendum election and their first ever union-wide national mail-in ballot officer election.
• Served over six years as a member of Crowell’s criminal defense team on the Criminal Justice Act (CJA) Panel for the U.S. District Court for the SDNY, representing indigent criminal defendants in cases ranging from narcotics trafficking and racketeering to securities fraud. Served as first chair on numerous oral arguments and criminal sentencing proceedings in federal court.

Best Lawyers in America, “One to Watch” in Criminal Defense: White Collar, Commercial Litigation, 2021–Present