Tami Stark

Counsel, New York

Biography

Overview

Tami Stark's practice focuses on representing companies and individuals facing white collar criminal and regulatory investigations. Having spent more than eight years in the Enforcement Division of the US Securities and Exchange Commission, Tami offers clients unique expertise in conducting internal investigations, navigating government inquiries, and serving as a monitor.

Tami combines her extensive experience advising clients on white collar matters with her experience inside the SEC to obtain quick, efficient and successful outcomes for her clients. Tami has advised clients in matters relating to, among other things: private equity and hedge fund investment adviser conflicts of interest; the FCPA; financial/accounting fraud; insider trading; short and distort schemes; securities registration; and the False Claims Act.

Tami served as Assistant Regional Director in the SEC's Enforcement Division, where she led enforcement efforts alongside other regulators and agencies, including the US Department of Justice, the New York Attorney General's Office, FINRA and the Options Regulatory Surveillance Authority. She conducted and supervised investigations concerning: insider trading, financial/accounting fraud, investment adviser and broker-dealer violations, best execution and municipal securities fraud. She also recommended the selection of, and managed, compliance monitors and fair fund distribution consultants.

Before joining White & Case, Tami practiced at a boutique white collar criminal defense firm where she advised clients in major criminal and regulatory investigations. She managed the Monitorship of a major not-for-profit organization, which had been the subject of fraud investigations by city and state regulators, and the Auditorship of a pharmaceutical company, which had been the subject of an opioid investigation. Tami also clerked for the Honorable Carol B. Amon on the US District Court for the Eastern District of New York.

Bars and Courts
New York State Bar
US District Court for the Southern District of New York
US District Court for the Eastern District of New York
Education
JD
Fordham University School of Law
BA
James Madison University
Languages
English

Experience

Criminal/Regulatory Matters

Represented an energy technology company in an insider trading investigation conducted by the SEC. No charges were brought against the company.

Represented a major private equity firm and an acquiree in connection with an SEC financial fraud investigation. Convinced the SEC to close the investigation without a document production or interviewing of witnesses.

Represented the Special Committee of the Board of Directors of a public company in connection with an internal investigation of related party transactions.

Represented the CEO of an investment management data analytics company in an investment adviser conflict-of-interest investigation conducted by the SEC. No charges have been brought against the client.

Represented the Chief Executive Officer of a major institutional hedge fund manager in connection with an investment adviser fraud investigation by the SEC. No charges were brought against the client.

Represented the Chief Financial Officer of an Asia-Pacific subsidiary of a large marketing company in connection with an FCPA investigation conducted by the DOJ and the SEC. No criminal or civil charges were brought against the client.

Represented the Global Chief Compliance Officer of one of the world’s largest business applications companies in connection with an FCPA investigation conducted by the DOJ and the SEC.

Represented the CEO of an Asia-Pacific affiliate of a multinational wire and cable solutions corporation in an FCPA investigation by the DOJ and the SEC. No criminal or civil charges were brought against the client.

Represented the Controller of a public company in parallel SEC/DOJ investigations of financial/accounting fraud at the company. Although the company, its CFO and other employees were charged by the SEC and/or DOJ, no criminal or civil charges were brought against the client.

Represented the Head of Risk of a global bank in an SEC investigation of money laundering. The client was not charged.

Represented the CFO of an oil and gas company in parallel criminal and SEC insider trading investigations. No charges were brought against the client.

Represented the Chief Accounting Officer of a publicly traded Real Estate Investment Trust in an SEC investigation of conflicts of interest. The client and the REIT were not charged.

Represented more than 40 employees of one of the nation's leading drugstore chains in a grand jury investigation of pseudoephedrine sales practices. None of the employees were charged.

Represented more than ten employees of a freight forwarding company in a defense contract fraud investigation by the Department of Defense and the DOJ. None of the employees were charged.

 

Monitorships

Led the Monitorship team for a large not-for-profit organization whose previous CEO was convicted of a kickback scheme in a high-profile prosecution brought by the New York Attorney General's Office. Reported to multiple New York State and New York City agencies for more than four years. During that time, Tami helped the organization: improve its Board Governance; install new executive staff leadership with financial, compliance and governance experience; strengthen compliance by drafting new policies and conducting new trainings; enhance financial controls; and streamline and strengthen the financial statement and budget processes.

Spearheaded the three-year Auditorship of a pharmaceutical corporation subject to investigation by the New York State Attorney General over its opioid marketing practices. Responsible for monitoring the company's compliance with an agreement with the Attorney General resolving the investigation, as well as ongoing practices and procedures.

Awards and Recognition

SEC Ellen B. Ross Award for exemplary commitment, enthusiasm and performance, 2003