(212) 530-1840
(917) 344-8840 fax
lrichards@rkollp.com

One World Financial Center
New York, NY 10281-1003

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Lee S. Richards III

Partner

Lee S. Richards III is a founding partner of the firm. He concentrates in white collar criminal defense, securities enforcement defense, regulatory proceedings, internal investigations and complex commercial litigations. He has extensive trial experience and regularly represents investment banks, hedge funds, public companies, investment advisers, corporate officers and directors, and other professionals in investigations and proceedings by the DOJ, SEC, FINRA, and other governmental entities and SROs. He also represents companies and senior executives in commercial litigations, class action and derivative cases, and arbitrations relating to a variety of disputes.

In addition, Mr. Richards advises companies and directors on governance issues and has served as SEC Special Compliance Counsel, Receiver and Trustee in the liquidation of four securities firms and three major insider trading cases. He was appointed as the Independent Examiner in United States v. Computer Associates International, Inc.
Some notable representations include:

• Representation of a major pharmaceutical company in a Medicare investigation being conducted by the DOJ in the Midwest;
• Representation of several major New York investment banks in a variety of DOJ, SEC and FINRA investigations, including the representation of one of the major investment banks which advised Enron;
• Representation of several pivotal senior executives and analysts in the research analyst investigation, including Jack Grubman;
• Representation of a regional investment bank in the investigation of one of its research analysts;
• Representation of the CEO of one of the largest international insurance companies in an SEC investigation;
• Representation of the CFO of a major pharmaceutical distributor in an SEC investigation;
• Representation of various Audit Committees for public companies including a major business information company, a large software company and a large REIT.

Mr. Richards served for fifteen years as an Adjunct Assistant Professor at Fordham Law School. He is Chairman of the American Bar Association's Subcommittee on Criminal Aspects of the Securities Laws, President Emeritus of the Federal Bar Council Inn of Court, and a member of the American Inns of Court Board of Trustees. He is also a regular speaker and writer on topics relating to criminal and securities law issues, internal investigations, corporate governance and compliance procedures. For example, over the course of the last year, he spoke on those subjects at the Association of General Counsel and the Securities Industry and Financial Markets Association conferences, in Practicing Law Institute presentations and in private meetings with senior corporate officers of several public companies.

He was recognized by Conde Nast’s Portfolio.com as one of the top ten white collar lawyers in New York. The 2007 Chambers USA: America's Leading Lawyers for Business ranked Lee Richards as a leading individual in Litigation - White-Collar & Government Investigations, and has been identified as one of the Best Lawyers in New York by The Best Lawyers in America® and a Super Lawyer by Law & Politics Media, Inc.

From 1977 to 1983, Mr. Richards was an Assistant United States Attorney for the Southern District of New York, where he handled major prosecutions of insider trading and securities fraud.