Lisa N. Umans
Overview
When clients require expert assistance navigating sensitive internal investigations or high-profile government inquiries, Lisa can be relied upon to provide thoughtful and dependable advice and counsel. Informed by her years of experience representing some of the largest global financial institutions, Fortune 500 companies, and their senior executives and employees, Lisa helps clients develop legal strategies to overcome the challenges posed by the most sophisticated regulatory enforcement investigations and criminal prosecutions.
Career & Education
- Boston University, B.A., cum laude, political science, 2007
- Georgetown University Law Center, J.D., 2012
- New York
- U.S. District Court for the Southern District of New York
Lisa's Insights
Firm News | 8 min read | 08.15.24
Washington – August 15, 2024: The 2025 edition of The Best Lawyers in America® has recognized 42 Crowell & Moring lawyers as "Best Lawyers" and 29 lawyers as “Ones to Watch.”
Client Alert | 7 min read | 05.13.24
SEC Enforcement Actions Signal Enhanced Scrutiny Around “AI Washing”
Publication | 05.09.24
Client Alert | 3 min read | 03.11.24
DOJ Offers Cash “Carrot” to Whistleblowers; Foreshadows “Stick” of More Corporate Enforcement
Representative Matters
- Represented multiple pools of employees of global investment banks in connection with investigations by the U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (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.
- 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.
- 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.
- Assisted 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.
Lisa's Insights
Firm News | 8 min read | 08.15.24
Washington – August 15, 2024: The 2025 edition of The Best Lawyers in America® has recognized 42 Crowell & Moring lawyers as "Best Lawyers" and 29 lawyers as “Ones to Watch.”
Client Alert | 7 min read | 05.13.24
SEC Enforcement Actions Signal Enhanced Scrutiny Around “AI Washing”
Publication | 05.09.24
Client Alert | 3 min read | 03.11.24
DOJ Offers Cash “Carrot” to Whistleblowers; Foreshadows “Stick” of More Corporate Enforcement
Insights
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01.20.23
Compliance & Enforcement
Union Monitors
|04.25.22
The Guide to Monitorships - Third Edition, Global Investigations Review
'Out Of Their Wheelhouse': How Pro Bono Lawyers Got Creative in COVID-19 Response
|05.06.20
American Lawyer
Lisa's Insights
Firm News | 8 min read | 08.15.24
Washington – August 15, 2024: The 2025 edition of The Best Lawyers in America® has recognized 42 Crowell & Moring lawyers as "Best Lawyers" and 29 lawyers as “Ones to Watch.”
Client Alert | 7 min read | 05.13.24
SEC Enforcement Actions Signal Enhanced Scrutiny Around “AI Washing”
Publication | 05.09.24
Client Alert | 3 min read | 03.11.24
DOJ Offers Cash “Carrot” to Whistleblowers; Foreshadows “Stick” of More Corporate Enforcement