Danielle Giffuni
Overview
Danielle represents individual, corporate, and institutional clients facing complex, high-stakes criminal and regulatory investigations initiated by the full slate of federal and state financial services regulators. Her understanding of law enforcement priorities and experience with agency officials enable her to develop sophisticated defense strategies and guide clients through the complex demands of regulatory investigations and criminal prosecutions.
Career & Education
- University of Michigan, B.A., Political Science, 2005
- Brooklyn Law School, J.D., 2010
- New York
Professional Activities and Memberships
- Member, New York State Bar Association
Danielle's Insights
Client Alert | 3 min read | 10.11.24
On September 30, 2024, the SEC announced the settlement of an enforcement action against Marathon Asset Management, L.P. (Marathon) for failing to implement proper policies and procedures to prevent the misuse of material nonpublic information (MNPI). The issue stemmed from Marathon’s participation in ad hoc creditors’ committees, where the firm inadvertently received MNPI through its consultants and advisers. This enforcement action highlights the SEC’s intense focus on the participation by investors in ad hoc creditors’ committees and the importance of implementing robust MNPI controls when doing so.
Client Alert | 4 min read | 09.09.24
Flag on the Play: SEC Fines Adviser for Insufficient MNPI Controls in CLO Trades
Publication | 07.05.24
Chasing Carrots: The Uncertain Rewards Of SEC Self-Reporting And Cooperation
Client Alert | 3 min read | 10.30.23
Representative Matters
- Defended a former chief AML/BSA Compliance Officer of a national financial institution in connection with an SDNY criminal investigation and civil enforcement action into alleged violations of the BSA.
- Defended a senior-level trader at an international financial institution in connection with a CFTC investigation of alleged market manipulation and fraud regarding swaps related to bond issuances.
- Represented a SaaS start-up company, its officers, and directors in connection with an SEC fraud investigation resulting from a whistleblower complaint.
- Represented a New York-based health system in connection with a District Attorney of New York (DANY) investigation into the nursing home’s response to the COVID-19 pandemic.
- Represented a pool of current and former international bank employees in connection with inquiries, investigations, and proceedings conducted by the EDNY, NYDFS, and New York AG related to the Bank Secrecy Act and AML compliance issues.
- Represented a former government employee in dual investigations by the DOJ Civil Division and Office of Inspector General of the Department of Housing & Urban Development (HUD OIG) for a possible conflict of interest violation relating to the client’s former government employment.
- Represented a pool of senior underwriting managers in connection with DOJ Civil Division False Claims Act (FCA) investigation into mortgagor’s origination and underwriting loan practices.
- Represented a national health plan in an AG and Department of Labor (DOL) investigation under State Executive Law and the Employee Retirement Income Security Act (ERISA).
- Represented a registered representative in a FINRA investigation regarding alleged misstatements. FINRA closed the investigation without filing an enforcement action.
- Represented registered investment advisor in connection with SEC enforcement investigation into supervisory and compliance practices.
- Represented an independent member of a board of directors in an investigation related to potential disclosure of non-public information.
- Represented an individual in an SDNY and SEC insider trading investigation.
Danielle's Insights
Client Alert | 3 min read | 10.11.24
On September 30, 2024, the SEC announced the settlement of an enforcement action against Marathon Asset Management, L.P. (Marathon) for failing to implement proper policies and procedures to prevent the misuse of material nonpublic information (MNPI). The issue stemmed from Marathon’s participation in ad hoc creditors’ committees, where the firm inadvertently received MNPI through its consultants and advisers. This enforcement action highlights the SEC’s intense focus on the participation by investors in ad hoc creditors’ committees and the importance of implementing robust MNPI controls when doing so.
Client Alert | 4 min read | 09.09.24
Flag on the Play: SEC Fines Adviser for Insufficient MNPI Controls in CLO Trades
Publication | 07.05.24
Chasing Carrots: The Uncertain Rewards Of SEC Self-Reporting And Cooperation
Client Alert | 3 min read | 10.30.23
Insights
Chasing Carrots: The Uncertain Rewards Of SEC Self-Reporting And Cooperation
|07.05.24
New York Law Journal
Crypto Trader’s “Profitable Trading Strategy” Appears to be Mere Market Manipulation
|01.30.23
Crowell & Moring’s Crypto Digest
Danielle's Insights
Client Alert | 3 min read | 10.11.24
On September 30, 2024, the SEC announced the settlement of an enforcement action against Marathon Asset Management, L.P. (Marathon) for failing to implement proper policies and procedures to prevent the misuse of material nonpublic information (MNPI). The issue stemmed from Marathon’s participation in ad hoc creditors’ committees, where the firm inadvertently received MNPI through its consultants and advisers. This enforcement action highlights the SEC’s intense focus on the participation by investors in ad hoc creditors’ committees and the importance of implementing robust MNPI controls when doing so.
Client Alert | 4 min read | 09.09.24
Flag on the Play: SEC Fines Adviser for Insufficient MNPI Controls in CLO Trades
Publication | 07.05.24
Chasing Carrots: The Uncertain Rewards Of SEC Self-Reporting And Cooperation
Client Alert | 3 min read | 10.30.23
