AREA OF PRACTICE

White Collar Defense & Government Investigations

Biography

Ashley Baynham is a Partner in the Firm’s White Collar Defense & Government Investigations Practice Group. Her diverse practice focuses on representing clients in government investigations and enforcement proceedings, complex civil securities actions, FCPA/anti-corruption compliance and defense, corporate governance, crisis management and audit committee investigations, and healthcare fraud matters.

Ashley represents some of the world’s leading companies and their corporate officers, as well as other prominent individuals, in high-stakes and sensitive matters involving the Department of Justice (DOJ), the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), other federal and state agencies, and private litigants. She has particular experience in financial fraud, insider trading, investment adviser act violations, securities sales practices, health care fraud, False Claims Act, and Foreign Corrupt Practices Act (FCPA).

Ashley has also handled significant pro bono matters, including successfully obtaining a pardon based on innocence for a defendant on death row. 

Awards

Representation

Representative Securities and Financial Fraud Matters

Advised Special Committee of the Board of Directors of an online payroll and human resource technology provider in a review of whistleblower allegations and SEC disclosure issues.

Secured dismissal of a securities class action filed in the Southern District of New York, on behalf of Bibox, a leading digital currency trading platform.

Defended several individuals in insider trading federal investigations and filed cases. One client was an individual defendant in a nationally publicized criminal and civil insider trading cases with the resulting sentence of four months, instead of a sentence of 12-18 months, as requested by the prosecution.

Defended former chief compliance officer of publicly traded company in a criminal securities fraud investigation.

Represented multiple defendants in civil securities litigation matters, including winning summary judgment for an investment advisor in securities litigation filed in the Southern District of New York.

Represented several board members of oil and gas company in an internal investigation related to potential breaches of fiduciary duties and allegations of insider trading.

Represented the Trustee for a Trust in a class action challenging the SEC’s policy of seeking disgorgement.

Represented trader for a major multinational bank in connection with a multi-agency, multi-jurisdiction investigation, involving various U.S. and British law enforcement authorities and regulators.

Represented an exotics trader of a financial institution in investigation by FINRA relating to ISDAFIX.

Obtained voluntary dismissal by the SEC of a federal action against a former executive of a collateral manager.

Represented former chief compliance officer of a major broker dealer in FINRA and SEC investigations.

Represented amicus curiae in appeals to the D.C. Circuit, Eleventh Circuit, and U.S. Supreme Court relating to constitutional defects in SEC administrative proceedings.

Representative Ethics & Compliance Matters

Conducted internal investigations for a number of business entity clients.

Reviewed and advised corporate and individual clients on compliance with the Coronavirus Aid, Relief, and Economic Act loan programs.

Devised and implemented compliance policies and procedures and training programs for wide variety of corporate entities, including public companies with a global footprint.

Worked with the incoming Chief Compliance Officer of large technology company regarding its whistleblower policies, procedures, and investigation protocols.

Conducted fraud investigations in bankruptcy-related matters.

Representative FCPA Matters

Represented a leading premium spirits company in an FCPA review of China-based business activities.

Defended former chief executive officer of a non-U.S. multinational company in an FCPA investigation.

Represented a global technology company in numerous FCPA-compliance reviews including but not limited to its business operations in Canada, Nigeria, Kenya, and South Africa.

Represented the special committee of a non-U.S. multinational corporation in connection with a corruption, bribery, and FCPA cross-border investigation.

Representative Healthcare Fraud Matters

Defended individual charged in multiple indictments in the Southern District of California alleging healthcare fraud.

Represented several major pharmaceutical manufacturers and sales employees in criminal investigations and related False Claims Act cases regarding sales practices and Medicaid and Medicare claims.

Represented whistleblowers in FCA cases relating to alleged fraud on the United States.

Represented a supplier of durable medical equipment in FCA action alleging multimillion-dollar scheme to defraud Medicare.

Representative Trials

Defended public company in arbitration regarding whether a national pharmacy had breached its contractual obligations related to HIPAA. Settled favorably for client after arbitration.

Represented at trial and on appeal a prominent collateral manager and its principal as part of an SEC enforcement proceeding. Obtained favorable result on majority of claims.

Represented at trial an individual indicted for bank larceny in the District of Maryland. 

Served as a Special Assistant Attorney General for D.C. during a pro bono rotation at the Office of Attorney General.

Education

Northwestern University School of Law – J.D., cum laude, 2004
University of Richmond – B.A., magna cum laude, Phi Beta Kappa, 1999

Bar Admissions

California
New York
District of Columbia
Various United States District Courts
Various United States Circuit Courts of Appeal
U.S. Supreme Court
Publications
Co-author, “Why Advisors Can Expect Uptick in Exams and Enforcement Actions," Financial Advisor Magazine (July 2020)
Co-author, “PPP Borrowers: 5 Ways to Mitigate the Risk of an Unfavorable SBA Audit or Enforcement Action," Financial Executives International (July 2020)
Co-author, “The Securities and Exchange Commission," The Guide to Monitorships, Global Investigations Review (2020)
Co-author, "Negotiating Settlements with the SEC,” PLI SEC Compliance and Enforcement Answer Book (2018)
“Personal Notes on Lawyers,” New York Law Journal (February 18, 2014)
“Enforcement Trends Related to Executive Liability in Health Care Investigations,” Bloomberg BNA Health Care Fraud Report (June 12, 2013)
Professional Affiliations
American Bar Association
New York Bar Association
Awards and Honors
Recognized as a Super Lawyers “Rising Star” for White Collar Crimes in New York, NY
Firm Activities
Member, Equity, Inclusion and Diversity Council