Trial Lawyer, Investigator in federal and state court compliance

Resumé of CARL M. BORNSTEIN **********@*************.***

** ********, ***** ****, *** York, NY 10006 Phone: 212-***-**** OVERVIEW

An accomplished, versatile, skilled and knowledgeable lawyer in New York City who has tried major criminal cases to verdict, and has been successful in leading people to achievements. Has substantial experience in conducting complex criminal, civil, and sensitive business investigations throughout his career as a federal and state prosecutor, as the inspector general for a major NYC construction authority, and as a private practitioner. HIGH PROFICIENCY SKILLS

• Compliance & Audit Management

• Evaluating Risk & Compliance

• Business Continuity Management

• Civil & Commercial Litigation

• Financial Crimes Investigations

• Procurement Investigations

• Operations Management

• Strategic Analysis & Planning

• Documentation & Reporting

• Teaching & Mentoring

• Trial Advocacy

• Vendor Integrity Assessments

• Team Leadership & Teaching

• Building stakeholder relations

• Regulatory & Policy Compliance

HONORS

Has held Martindale–Hubbell’s AV Preeminent rating for excellence in legal ability and ethical standards for years. Recognized as a Top Lawyer by the New York Law Journal for years. Selected for listing in Marquis’ Who’s Who in America. PROSECUTiON EXPERIENCE

Executive Special Assistant Attorney General in the Special Prosecutor’s Office (SPO) Investigating

Corruption in the NYCity Criminal Justice System.

Special Attorney, United States Department of

Justice, Organized Crime & Racketeering Section in the Southern and Eastern Districts of New York. .

Deputy Chief Assistant District Attorney, Queens

County District Attorney's Office, supervising four of the investigative bureaus of the Office. Responsible for all litigation for and use of elecronic surveillance. . Assistant District Attorney, Bronx County District Attorney's Office out of law school; assigned to the Appeals, Grand Jury and Rackets Bureaus; promoted to Chief of the Rackets Bureau.

KEY ACCOMPLISHMENTS

GOVERNMENT SERVICE

• As a Special Attorney of the U.S. Department of Justice Organized Crime & Racketeering Section in the Southern and Eastern Districts of New York prosecuted major organized crime and public corruption cases.

• Won convictions of ranking members of the Mafia identified as a soldier, a capo, and a family boss in three separate federal and state trials.

• As an Assistant District Attorney in The Bronx out of law school; trained by the Office in the Appeals, Grand Jury and Rackets Bureaus, then was promoted to Rackets Bureau Chief by District Attorney Burtom B Roberts. Later, was appointed as the Executive Assistant District Attorney in the Queens County District Attorney’s Office by the late DA Michael F. Armstrong to oversee and manage the work or over 10 Assistants in four investigative bureaus.

• As the Executive Special Assistant Attorney General during the tenure of the late U.S. District Judge John F. Keenan, (SDNY) as the NYS Special Prosecutor Investigating Corruption in the NYC Criminal Justice System supervised investigations by the Office’s 35 lawyers and provided counsel to the directors of its 70 investigators.

• As the Inspector General of the NYC School Construction Authority (SCA-IG) was chief executive of this oversight office budgeted at $4,500,000 and staffed at 47, including investigators, forensic accountants, lawyers, engineers, and intelligence specialists. Charged with two missions:

– First, to protect the SCA against any illegal activity directed against it or its work including any attempted infiltration by organized crime elements. waste, corruption, and racketeering. Cross-designated as a Special Assistant by the late Robert M. Morgenthau, Manhattan District Attorney, and the New York State Attorney General.

– Second, was personally accountable as the SCA-IG to evaluate the responsibility and integrity of all vendors before they were authorized to begin bidding for contracts over $10,000 from the Authoriy’s annual $1 billion construction budget. This included the pre-qual background investigations which were wide and deep in scope.

• Reported to the SCA Board and its President about major on-ste construction and accidents. Recommended improved procedures to focus on contractors with poor safety records and accidents. This, plus training, contributed to reducing seriouw accidents on the work site.

Resume of Carl M. Bornstein pg 2 cbornstein@carlbornstein. PRIVATE PRACTICE: Conducts a law practice focusing on defense of clients involved in complex civil and white-collar crime defense litigation, in sensitive,internal business investigations – including criminal trials to verdict – in federal and state courts, and integrity monitoring. Some have had complex discovery. Among others, select cases include::

• A tax lawyer in an 11-week criminal trial of a $1 billion income tax fraud by two tax lawyers rooted in financial futures.

• A public company in a hearing defense of a claimed trademark infringement of a publication. My client prevailed.

• A hearing defense in a copyright infringement of maintenance software for MRI machines. My client prevailed.

• Defending physicians and lawyers in professional disciplinary matters or fraud charges. In one case the investigation concerned false identity of patients. Another involved a lawyer charged with commingling clients’ funds.

• Member of a monitoring team for General Motors (GM) pursuant to a deferred prosecution agreement with the Southern District U.S.Attorney to assess GM’s recall of its ignition switches that were found unsafe.

• As counsel to a monitoring team for Hewlett Packard (HP), drafted a report to the California Superior Court that was reviewing HP’s business investigative tactics as part of the resolution of civil and criminal charges.

• Defense of a client in mediation against an application for a preliminary injunction to enforce a non-compete provision. MANAGEMENT & LEADERSHIP • RISK, COMPLIANCE & PROCUREMENT Fortress Monitoring Group, JV (FMG) – Chief Operating Officer (2007 – 2014) Co-founded, then, as chief operating officer, led this five-partner professional multi-discipline joint venture to monitor the

$3.8 billion construction of Tower 1 at Ground Zero of the World Trade Center, a project of national significance.

• With partner personnel prepared procedures and a risk matrix to manage and conduct the JV’s operations and report to the Inspector General of the Port Authority of New York and New Jersey. (IG-PANYNJ)

• Organized FMG and the risk matrix to prevent fraud, corruption, labor racketeering, and infiltration by organized crime elements through coordination with the IG-PANYNJ when such conduct was detected.

• Managed the monitoring and oversight of 50 prime contractors in various trades by having daily coverage on site to review performance of individual contracts, some ranging to over $250,000,000.

• Led weekly meetings with FMG managers frequently attended by IG-PANYNJ personnel and made site visits to oversee forensic audit, engineering, investigations and ongoing procurement.

• “Hardened”the target“ with a a high level of preventive and investigative coverage of the Tower 1 project by accountants, engineers. a former Assistant Commissioner of the NYC DOI, former detectives of the NYPD’s Organized Crime Control Bureau and its Intelligence Division, lawyers, and former Special Agents of the FBI, the IRS, and the U.S. Labor Department’s OIG. Effectively made any illegal attempt to infiltrate the work much more difficult. Philadelphia Mayor’s Special Independent Advisory Commission (pro bono) Appointed by the Mayor of Philadelphia to evaluate the operation and rules of the Philadelphia Department of Licenses and Inspections after a building wall collapsed during demolition killing six people and injuring 13. Assessed the Department’s operations and rules against those of the NYC Department of Buildings and recommended changes. PROFESSIONAL EDUCATION & CREDENTIALS

Brooklyn Law School, J.D.; Honors: Law Review – Articles Editor and Senior Editor - NYU, B.A. Bar Admissions: New York State; U. S. Supreme Court; U.S. Court of Appeals for the Second Circuit; and the U.S. District Courts for the Southern, Eastern, and Northern Districts of New York TEACHING

Lawyers: As an Instructor for the National Institute for Trial Advocacy, Northeast Region for over ten years (pro bono) Graduate Students: As an Adjunct Assistant Professor at John Jay College, teaching investigative techniques and ethics to graduate students in the MPA Inspection & Oversight program for 12 years. Inspectors General: Lecturer on investigative techniques in a 2005 Certification Course at John Jay for members of the Association of Inspectors General.

PROFESSIONAL ASSOCIATIONS

NYC Bar Association: Judiciary and Criminal Courts Committees for judicial selection; Association’s delegate to the Independent Judicial selection Panel of the NewYork County Democratic Committee. (2007) NYS Bar Association: Autonomous Vehicle Task Force; Federal Constitution and Legislative Committee Amercan Bar Association: Service as a moot court appellate judge in the ABA’s national competition. MILITARY

U.S. Army Reserve, Military Police Corps, CID Specialist E6 (S/Sgt), 310TH MP Bn, Honorable Discharge.

Contact this candidate