Howard Caro joined the firm in 1998 and has a litigation practice with an emphasis on private securities litigation, the Foreign Corrupt Practices Act (FCPA), SEC enforcement proceedings, and internal corporate investigations.

Experience

Mr. Caro has extensive experience representing issuers, officers, directors, and accounting firms in shareholder class actions and derivative actions in state and federal courts.  In late 2007, Mr. Caro helped lead the team that secured a jury verdict for the defendants (including our client, the former Chief Executive Officer, of JDS Uniphase Corporation) in In re JDS Uniphase Securities Litigation, one of only a handful of securities class actions that have gone to trial since passage of the Private Securities Litigation Reform Act of 1995. 

Mr. Caro has also represented clients, including officers, directors, and special committees of boards of directors in connection with inquiries and investigations conducted by the Securities and Exchange Commission and the Department of Justice.  Mr. Caro has extensive experience in conducting internal investigations, with a particular focus on the FCPA.  In addition, Mr. Caro has represented investment advisory firms and their officers in connection with investigations by self-regulatory organizations such as the National Association of Securities Dealers, and has advised financial services organizations in connection with examinations conducted by the National Futures Association and the Commodity Futures Trading Commission.  He also has experience advising clients on compliance with, among other laws and regulations, the FCPA, anti-kickback regulations, and the anti-money laundering provisions of the USA Patriot Act.

Mr. Caro has spoken frequently on topics including securities litigation, corporate governance, the FCPA and the regulation of hedge funds.