Craig S. Warkol
Counsel
Heather Worley
212.508.6100 x6577
Craig S. Warkol serves clients as counsel in the defense of business crimes, SEC enforcement proceedings, securities litigation and in conducting internal investigations at public and private companies.
Drawing on his experience as a federal prosecutor at both the United States Attorney's Office and the Securities and Exchange Commission (SEC), Mr. Warkol counsels corporate officers and boards regarding federal securities laws and, when necessary, represents them in connection with SEC inquiries and enforcement proceeding. His practice also includes representing corporations and individuals under investigation for or charged with crimes such as securities fraud, mail and wire fraud, money laundering and tax offenses.
Prior to joining the firm, Mr. Warkol served as a Special Assistant United States Attorney for the Eastern District of New York in the business and securities fraud section. He prosecuted allegations of securities fraud, insider trading, mail and wire fraud, money laundering and tax offenses. Mr. Warkol was a key member of the trial team that prosecuted former senior executives of Symbol Technologies Inc., for securities and accounting fraud.
Mr. Warkol served as senior counsel in the enforcement division of the SEC, where he prosecuted numerous violations of federal securities laws. He previously served as a law clerk to the Honorable Lawrence M. McKenna of the U.S. District Court for the Southern District of New York, and practiced in the business and securities litigation section at a New York-based AmLaw 100 firm.
Representative Matters
Represented a Fortune 500 company under investigation by the United States Department of Justice and United States Securities & Exchange Commission for improperly backdating stock option grants to executives and employees.
Conducted an independent internal investigation at a billion dollar public company into allegations of corporate malfeasance by the chief executive officer and global head of procurement.
Represented chief financial officer in connection with grand jury investigation and secured immunity for client.
Represented the chief financial officer of a Fortune 500 company under investigation for improperly backdating stock option grants.
Represented an attorney under investigation by the Department of Justice for engaging in securities fraud.
Represented an individual under investigation by the SEC concerning penny stock transactions and corporate identity theft and convinced the staff not to pursue fraud charges.
Represented principal investor in connection with criminal inquiry for orchestrating a fraudulent initial public offering.
Publications and Speeches
"Resolving the Paradox Between Legal Theory and Legal Fact: The Judicial Rejection of Efficient Breach," 20 Cardozo Law Review 321, 1998.
"Why ISPS Are Not an Appropriate Target in the Battle Against Child Pornography," Internet Newsletter, February 2002, available on Westlaw at 6 No. 11 Internews 1.
Education
J.D., cum laude, Benjamin N. Cardozo School of Law, 1999
B.A., University of Michigan, 1996
Bar Admissions
New York
Court Admissions
U.S. Court of Appeals for the 2nd Circuit
U.S. District Court for the Southern and Eastern Districts of New York
Noteworthy
Chairman's Award for Excellence, United States Securities and Exchange Commission, 2002