Litigation Associate

THOMAS P. DeFRANCO

**** ****** *** **, **********, DC 20011 • 631-***-**** • admpf7@r.postjobfree.com

EXPERIENCE Schulte, Roth & Zabel, LLP, New York, NY; Washington, DC Litigation Associate, Summer 2014; October 2015 – September 2018 (NY); September 2018 – Present (DC)

• Advise clients on implications of various federal laws - including the Securities laws, Commodities laws, the False Claims Act, and the Foreign Corrupt Practices Act, among others - upon contemplated actions.

• Represent and advise clients throughout investigations by federal and state agencies, including the DOJ, SEC, CFTC, and New York Department of Financial Services.

• Represent financial services, pharmaceutical, and energy industry clients in all aspects of civil litigation involving claims made pursuant to a variety of business-related torts and complex financial regulatory statutes such as the Securities Exchange Act and Commodities Exchange Act.

• Identify key legal and factual issues underlying client matters in and with regard to a variety of professional fields (in particular: financial services, pharmaceutical, education finance, energy, automotive) and offer strategic advice before, during, and after litigation.

• Appear in court on behalf of clients to argue discovery-related issues and non-dispositive motions.

• Prepare witnesses for depositions and participate in depositions as second chair.

• Lead efforts to research and draft legal memoranda, dispositive motions, expert reports and correspondence with regulators.

• Prepare presentations to prospective clients, etc.

• Manage e-discovery and document productions in connection with civil lawsuits and regulatory investigations and examinations.

Kohn, Kohn & Colapinto, LLP, Washington, DC

Law Clerk, Summer 2013; March – October 2015

• Following a Summer internship, was hired for a six month period to work as a law clerk with the understanding that I would begin my full time position with Schulte Roth & Zabel in October 2015.

• Conducted legal research and drafted legal briefs at the summary judgment stage and on appeal on matters of critical importance to corporate and government whistleblowers such as employment discrimination, first amendment retaliation, and the False Claims Act.

• Drafted and submitted disclosures alleging various misconduct to anonymous whistleblower programs run by the SEC and CFTC’s respective Office of the Whistleblower and Whistleblower Office. United States Office of Special Counsel – Disclosure Unit, Washington, DC Legal Intern, Summer 2012 – March 2013

• Reviewed allegations of corrupt or unethical behavior from whistleblowers within the federal government.

• Researched any relevant law implicated by a whistleblower disclosure to determine whether a law or regulation had been violated.

REPRESENTATIVE MATTERS Civil Matters:

• Sealed AAA Arbitration: Represented former members of a dissolved consulting firm in dispute against their former partners relating to contractual provisions governing an event of sale or dissolution. After a lengthy discovery period that included fact and expert depositions, the dispute was heard by a single arbitrator. Achieved successful resolution in the form of a judgment of no liability in favor of former members.

• RKA Film Financing, LLC v. Kavanaugh et al.: Represented Colbeck Capital Management and several of its principals in litigation asserting fraud relating to an investment in a film production company by a collective of investment funds. Drafted Motion to Dismiss that was granted by the New York Supreme Court and an Appellee brief in support of that decision that was substantially embraced in a decision affirming the Supreme Court’s dismissal order by New York’s Appellate Division, First Department.

• Fire & Police Pension Association of Colorado v. Bank of Montreal et al.: Represented National Bank of Canada and its affiliates in a successful Motion to Dismiss an action alleging manipulation of the Canadian Dollar Offered Rate against nine banks. Led and coordinated drafting efforts on Motions to Dismiss under Federal Rules of Civil Procedure 12(b)(2), for lack of personal jurisdiction, and 12(b)(6), with particular focus on causes of action brought pursuant to the Commodities Exchange Act and the Racketeer Influenced and Corrupt Organizations Act.

• Attain, LLC v. Veritas Capital Fund Management, LLC et al.: Represented Veritas Capital Fund Management, LLC and an affiliated entity in litigation brought by a losing bidder in a competitive auction process to enjoin consummation of an acquisition. Our aggressive litigation strategy led to Plaintiff withdrawing their request for a TRO days before a scheduled hearing, Plaintiff losing a Motion to Dismiss counterclaims we pursued on behalf of Veritas, and an eventual stipulation of dismissal filed by Plaintiff less than 6 months after litigation was commenced.

• Holliday v. Crowley et al.: Currently representing a former creditor to and a former director of a now- bankrupt entity in the oil and gas industry. Claims defended include a number of fiduciary-related violations, unjust enrichment, and lender liability in relation to certain actions alleged to have contributed to the company’s eventual insolvency and failure.

Regulatory & White Collar Matters:

• DOJ/SEC Investigation of Valeant Pharmaceuticals International, Inc.: Represented six present and former officers of Valeant in connection with an investigation by the DOJ and SEC into discrepancies related to the accounting treatment of drug sales through a wholly-owned subsidiary of Valeant. Interacted with DOJ and SEC attorneys on behalf of clients, prepared clients for witness interviews and presented attorney proffers on behalf of clients.

• DOJ Investigation of Purdue Pharma, L.P.: Currently representing two former officers of Purdue Pharma in a multi-pronged DOJ investigation of certain alleged practices related to sale of Oxycontin.

• SEC Insider Trading Investigation: Represented hedge fund in connection with SEC investigation into use of MNPI in certain trades and the existence of proper internal controls and an appropriate compliance response in relation to a fund insider coming into possession of MNPI. Representation resulted in issuance of no-action letter by the SEC.

• CFTC Price Manipulation Investigation: Represented interdealer broker in connection with CFTC investigation over alleged price manipulation of certain complex derivatives. Representation resulted in issuance of no-action letter by the CFTC.

• SEC Investigation Regarding Trading Activity in Volatile Securities: Currently representing registered investment adviser related to trading in certain volatile securities. Responsible for management of review team responding to SEC subpoena.

• Whistleblower Disclosure to SEC: Currently representing former officer of a publicly traded international corporation alleging securities law violations for materially misleading public statements regarding progress on a major project. Led presentation to Enforcement Division attorneys regarding alleged facts, supporting documentation and potential violations of the securities laws. Represent client in interviews with Enforcement Division attorneys and liaise with those attorneys regarding issues that arise throughout the SEC’s fact finding process.

Pro Bono Matters:

• Ledbetter v. Singer: Successfully represented domestic violence victim in appeal of a lower court order erroneously granting custody of her three children to her former partner. Recipient of Sanctuary for Families’ Above & Beyond Pro Bono Achievement Award in 2019 in relation to this representation.

• United States v. Terrance Deandre Dennis: Currently representing defendant-appellee in appeal of his conviction for drug and weapon possession to the U.S. Court of Appeals for the 4th Circuit. EDUCATION Georgetown University Law Center, Washington, DC

LL.M. in Securities & Financial Regulation with Distinction, awarded February 2015 GPA: 3.62

Honors: Dean’s List

J.D., awarded May 2014

GPA: 3.44

Honors: Dean’s List

Journal: Georgetown Journal of Gender and the Law – Articles Editor Wake Forest University, Winston-Salem, NC

B.A., cum laude, Political Science, Middle East and South Asia Studies (minor), awarded May 2010 Honors: Dean’s List, Pi Sigma Alpha (Political Science Honors Society, inducted April 28, 2009) Activities: Wake Forest University Debate Team (2006-2010) ADMISSIONS New York – Admitted March 16, 2016; District of Columbia – Admitted June 16, 2019

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