Whistleblowers and SEC Enforcement - The Impact on Corporations

Russell Capone is a former federal prosecutor with significant experience handling complex criminal cases, particularly those involving corruption, financial fraud and other white collar crimes. Russell served for more than 10 years at the US Attorney’s Office for the Southern District of New York, most recently as chief counsel to the US Attorney. In that role, Russell helped oversee SDNY’s most significant and sensitive investigations and prosecutions involving, among other crimes, white collar and cybercrime, securities fraud, public corruption, terrorism, gang violence, organized crime, sex trafficking and international narcotics trafficking. He also helped supervise matters arising in SDNY’s Civil Division, including those involving civil rights violations, as well as violations of the False Claims Act and Anti-Kickback Statute.

Jaime is an attorney with the Securities and Exchange Commission's Division of Enforcement in the Fort Worth office. She is skilled in leading SEC investigations, taking testimony and depositions, public speaking, case strategy, and conducting negotiations with opposing counsel.
Prior to her current role, Jaime was a Vice President in the Regulatory Relations Group at Morgan Stanley, where she managed regulatory exams. She worked as a litigation associate at Schulte, Roth & Zabel, where she focused on commercial litigation and enforcement actions. Jaime spent six years in the United States Army Judge Advocate General's Corps. While on active duty, she served as a legal assistance attorney, administrative law attorney and a prosecutor for the 25th Infantry Division in Hawaii before spending two years as a defense attorney. Additionally, Jaime served as a prosecutor at the Office of Military Commissions in Washington D.C., which is a Department of Defense office responsible for the prosecution of the military tribunals at Guantanamo Bay, Cuba. Jaime has tried dozens of bench and jury trials and has a passion for advocacy and being in court.
Licensed to practice law in New York, New Jersey, Washington D.C. and Florida.

David Peavler has deep experience in U.S. Securities and Exchange Commission (SEC) investigations and prosecutions, having served as Regional Director and Associate Director for Enforcement. He also provides unique insights on financial services industry regulation, public reporting, and corporate governance, having served as general counsel for a registered broker-dealer and investment adviser and as in-house counsel for a major energy company.
During his 19 years with the SEC, David led hundreds of investigations and enforcement actions covering every facet of the SEC's jurisdiction, ranging from corporate accounting and disclosures, auditor failures, and Foreign Corrupt Practices Act (FCPA) violations to cryptocurrency schemes, insider trading, and broker-dealer and investment adviser wrongdoing. David has broad experience with SEC issues impacting the energy industry, having led the SEC regional office covering Texas and Oklahoma and brought many of the agency's most significant energy industry reporting and disclosure cases.
Before joining the SEC, David was a partner in the trial section of another law firm, primarily representing major accounting firms in SEC investigations, auditing malpractice litigation, and securities class actions.

A former branch chief in the SEC’s Division of Enforcement and a former assistant independent counsel, Douglas Paul represents individuals and companies in government investigations and enforcement actions covering a variety of areas. He has assisted clients in responding to allegations of securities fraud, insider trading, other violations of the Securities Act of 1933, Securities and Exchange Act of 1934, FINRA violations, health care fraud, accounting fraud, fraud, and violations of the Foreign Corrupt Practices Act. Doug has deep experience working with Fortune 500 companies and mid-market companies, including financial institutions, hedge funds, broker-dealers, infrastructure companies, and beverage and spirits distribution companies. Doug regularly advises boards of directors and associated committees in responding to whistleblower and other allegations of wrongdoing, and conducts related internal investigations.
Doug regularly represents companies and individuals in actions brought by the Securities and Exchange Commission, Department of Justice, and other federal and state authorities as well as related derivative and class action lawsuits. He also works with companies in developing, improving, and implementing ethics and compliance policies and procedures, and provides guidance on corporate governance. Doug strongly believes in providing practical advice that is tailored to the different needs and circumstances of each client, and does not believe that a one-size-fits-all approach is effective or appropriate for compliance issues.
Doug’s career has included both government service and private practice, giving him insight into his clients’ various challenges. When he was a branch chief in the SEC’s Division of Enforcement, among Doug’s achievements, he exercised direct supervisory authority over the far-reaching and complex investigation into Enron Corp. When serving as an assistant independent counsel, Doug prosecuted public corruption.
Before joining Akerman, Doug was a partner in the Washington, D.C. office of an AmLaw10 firm.

Nicole Wells has 20 years of professional experience in providing consulting and expert services in forensic accounting investigations, antitrust criminal investigations and complex civil litigation, and general accounting matters.
Ms. Wells conducts complex investigations related to accounting irregularities and management conduct. Ms. Wells also has experience in dispute matters providing both consulting and expert services. In her career, she has provided consulting in the following areas: accounting irregularities, accounting-based fraud claims, kickbacks, accounting of profits, breach of contract claims, disgorgement claims, lost profit analyses, and post-merger & acquisition disputes involving both working capital and indemnification claims.
Ms. Wells specializes in complex regulatory criminal and civil matters involving price fixing, bid-rigging, and market allocation schemes. In criminal investigation matters, Ms. Wells aids counsel and clients in responding to domestic and foreign enforcement inquires on sales, pricing, and profits and the preparation of volume of commerce figures. In civil matters, Ms. Wells conducts analysis of financial and operational transaction data to respond to litigation requests, address FTAIA issues, assist with class certification defenses, and conduct historical pricing and profit analyses. Ms. Wells has provided these antitrust services across many industries to corporations based in North America, South America, Europe and Asia.
Furthermore, Ms. Wells has given numerous presentations to the legal and corporate community on various aspects of antitrust regulatory investigations and civil litigation matters involving complex transaction data. She has also presented accounting-based investigation and dispute matters including working capital, earnouts, neutral arbitrator’s role in post-merger/acquisition matters, and overall damages for matters involving post-merger/acquisition indemnification claims.
Prior to joining FTI Consulting, Ms. Wells provided attestation services in the Audit & Assurance practice at Deloitte. Ms. Wells holds a B.S. degree in Accounting, Finance and International Business from Indiana University. She is a Certified Public Accountant and Certified in Financial Forensics. Ms. Wells is a member of the Illinois Society of Certified Public Accountants, and the American Institute of Certified Public Accountants.