At Bracewell, we are particularly well-suited to serve as Monitors and Independent Auditors in a wide variety of matters because of our partners’ previous experience at the Department of Justice, U.S. Attorney’s Offices and District Attorney’s Offices. Our attorneys’ management of investigators and prosecutors in the public sector, and their knowledge of sophisticated investigatory methods, have enabled them to develop skills critical to performing duties as a Monitor.
Of particular note is Judge Barbara Jones, who presided as a federal judge in the Southern District of New York for 17 years. Judge Jones was a member of the American Bar Association Corporate Monitor Standards Committee and assisted in authoring the ABA-approved standards for monitorships. She also served as the chair of the Response Systems to Adult Sexual Assault Crimes Panel, created by Congress in 2013. In that position, she was tasked to review and assess the investigation, prosecution, and adjudication of sexual assaults in the U.S. military.
Recent Notable Matters
Federal Communication Commission — appointed as independent compliance officer to review and evaluate Charter Communication’s compliance with the conditions the FCC placed on it in connection with the acquisition of Time Warner Cable, Inc. and Bright House Networks
Southern District of New York — appointed as the Independent Review Officer for the International Brotherhood of Teamsters Union (IBT). Acting as an independent monitor over the IBT, the largest union in the world of 1.5 million members, and exercising disciplinary authority over the IBT relating to internal corruption charges, disciplinary decisions and reviews trusteeships imposed by the IBT over local unions, in addition to other investigative responsibilities.
New York Police Department — appointed by the New York City Police Commissioner to be part of a panel that is conducting a full-scale review of the New York City Police Department’s discipline policies
University of Michigan — Appointed as the Independent External Reviewer at the University of Michigan and tasked with deciding student disciplinary under the University’s Policy and Procedures on Student Sexual and Gender Based Misconduct. Reviewing investigation files including statements and other evidence to determine if the complaint was properly investigated and if the investigator’s findings comport with the evidence. Ability to alter the discipline if determined that the sanction is clearly inappropriate of disproportionate.
U.S. District Court for the Southern District of New York — appointed as Lead Master in the case of US Bank v. UBS Real Estate Securities, Inc. to oversee the review of thousands of loan files to determine whether there exist breaches by UBS of certain obligations related to the quality of the loans
District Council of New York City (the “Carpenters Union”) — Monitorship before the Honorable Richard Berman, US district judge for the Southern District of New York. Representing the monitored entity, worked with the court-appointed monitor and with the assigned Assistant U.S. Attorneys to ensure the conditions set forth in the court’s order were met.
New York City Department of Investigation (DOI) and the Metropolitan Transportation Authority (MTA) — Appointment to monitor a mid-sized construction company subject to a Deferred Prosecution Agreement with the New York County District Attorney’s Office involving violations of the MWBE laws. Reviewed the company’s compliance code, conducted compliance training and set up a hotline for internal reporting of corruption. Also reviewed and approved business practices and procedures to ensure the integrity of all contracts, to include review of the books and records to identify any potential payroll fraud and abuses.*
U.S. Bankruptcy Court for the Southern District of New York — appointment as an examiner to investigate allegations that the court-appointed Patient Care Ombudsman for debtor Daytop Village mischaracterized conditions of the debtor’s operations in his reports and attempted to improperly influence the debtor in connection with fee applications*
New York City Business Integrity Commission (BIC) — Appointed by the BIC to audit a large waste hauling firm to prevent organized crime involvement and to ensure compliance with the New York State Minority MWBE laws. The monitorship included analysis of thousands of documents and emails, numerous interviews, and forensic accounting reviews of the company.*
* Work completed prior to Bracewell