HenryKlehm III

Practice Leader Securities Litigation & SEC Enforcement

(T) + 1.212.326.3706

Henry Klehm, co-head of the Firm’s Securities Litigation & SEC Enforcement Practice, brings almost 30 years of experience at the U.S. Securities and Exchange Commission as a senior enforcement officer, a senior in-house lawyer at two global financial institutions, and a public company director. In the last ten years, Henry has acted as counsel in major corporate investigations and civil and criminal enforcement actions throughout the world. He counsels boards, corporations, and financial institutions on cross-border internal investigations, crisis management, corporate governance, and effective compliance and ethics programs, as well as legal matters related to internal control, auditing, litigation loss contingencies (ASC 450), and whistleblowers.

Recent representations include public companies, audit and special committees, financial institutions, and senior corporate officers in investigations and litigation involving disclosure, complex financial products, financial reporting, the Foreign Corrupt Practices Act, money laundering, and economic sanctions.

Prior to joining Jones Day, Henry was Deutsche Bank’s global head of compliance and Prudential Financial’s deputy general counsel for regulatory matters. He was with the SEC for ten years, serving as head of enforcement for the northeastern United States for five years, where he investigated, litigated, and supervised more than 500 enforcement actions including insider trading, financial frauds, Ponzi schemes, rogue traders, market manipulations, and investment company and advisor matters.

Since 2006, Henry has served as an independent director of RenaissanceRe Holdings, an NYSE-listed catastrophe reinsurance firm. He is currently chair of the Compensation and Governance Committee and previously chaired the audit committee.

Henry frequently lectures on cross border investigations, financial services, and corporate governance matters.

Experience

  • Fortune 500 public company assesses its investigation processes and develops enterprise-wide investigations governance structureJones Day is assisting a Fortune 500 public company in a year-long project to assess its investigation processes and develop a new, enterprise-wide investigations governance structure.
  • Citizens Financial Group secures dismissals of putative class action claimsJones Day client Citizens Financial Group Inc. (“Citizens”) secured dismissals of putative class action complaints brought by two shareholders who claim that Citizens violated the Securities Exchange Act of 1934 by making alleged misstatements regarding the extent to which customer appointments were made or kept.
  • The Port Authority of New York & New Jersey obtains highly favorable settlement with SECJones Day client The Port Authority of New York & New Jersey obtained a highly favorable settlement with the SEC in an investigation of the Port Authority's funding of $1.8 billion in New Jersey Roadway Projects.
  • Deutsche Bank resolves class action lawsuit over allegations of conspiracy to stifle competition in CDS marketJones Day client Deutsche Bank AG, New York achieved a settlement agreement in an antitrust class action brought by an Ohio union pension plan claiming that Deutsche Bank and other bank defendants conspired to prevent the development of credit default swap ("CDS") exchange trading and CDS futures products in an effort to stifle competition in the CDS market, in turn allegedly raising fund managers' costs.
  • One Equity Partners acquires All Metro Health CareJones Day represented One Equity Partners LLC in connection with its acquisition of All Metro Health Care, a provider of in home care services.
  • SFW Capital Partners makes strategic investment in Gerson Lehrman GroupJones Day represented SFW Capital Partners in connection with its $212 million strategic investment in Gerson Lehrman Group, Inc., a leading global platform for professional learning.
  • Jones Day advises on UK's first Deferred Prosecution Agreement and closure of U.S. DOJ investigationOn Monday, November 30, 2015, the Right Honourable Sir Brian Leveson (the President of the Queen's Bench Division) approved the resolution of the first UK Bribery Act section 7 proceedings by way of a Deferred Prosecution Agreement, a procedure never before used in the UK.
  • Uprising Management forms Uprising Investors Fund I, L.P. and Uprising Investors Opportunity Fund I, L.P.Jones Day represented Uprising Management LLC in connection with the formation of Uprising Investors Fund I, L.P. and Uprising Investors Opportunity Fund I, L.P., a venture capital fund.
  • City National Bank of Florida acquired by Banco de Credito e Inversiones for $946.9 millionJones Day advised certain members of senior management of City National Bank of Florida in connection with the acquisition by Chile's Banco de Credito e Inversiones for $946.9 million.
  • U.S. company investigates handling of whistleblower complaintsJones Day investigated and provided advice regarding the handling of whistleblower complaints concerning possible corrupt and fraudulent activity at a U.S. company's Brazilian subsidiary.
  • AG of America acquires majority interest of The Dennis GroupJones Day represented Andrade Gutierrez S.A., one of Brazil's largest construction and engineering companies, in its acquisition, through Andrade Gutierrez of America, Inc. ("AG of America"), of The Dennis Group, Inc., a leading U.S. company that offers complete planning, architectural, process engineering, and construction management services to the food and beverage industries.
  • Peaked Hill Partners completes equity injection with Arc InternationalJones Day represented Peaked Hill Partners LLC ("PHP") in connection with an equity injection from an investor group led by PHP in Arc International, a producer of glass tableware, completing the group's recapitalization, and providing funds for the modernization of their main production site in Arques, France, funding of a Social Plan linked to the restructuring plan, and various growth initiatives.
  • FTS International completes $1.25 billion refinancingJones Day represented FTS International, Inc. (FTSI), a leading provider of well completion services used to enhance recovery rates from oil and gas wells, in the $1.25 billion refinancing of a term loan.
  • Turnbridge Capital portfolio company acquires Horizontal Wireline ServicesJones Day advised Turnbridge Capital, LLC in connection with the acquisition and related financing by portfolio company Allied Wireline Services, LLC, an independent energy services company that provides wireline logging and other downhole information services for the oil and natural gas industry, of Horizontal Wireline Services, LLC, a wireline company with a focus on completion services in the gas well drilling industry.
  • Remate Lince subsidiary registers as broker-dealer with NFA and CFTCJones Day advised Remate Lince, S.A.P.I. de C.V., a large inter-dealer broker in Mexico, in connection with registering with the National Futures Association (NFA) and Commodity Futures Trading Commission (CFTC) on behalf of its New York subsidiary, Remate USA.
  • Audit committee of technology company undergoes internal investigation involving accounting issuesJones Day is representing the audit committee of a technology company with operations in the U.S., Europe, and the Middle East to conduct an internal investigation and respond to SEC inquiries involving accounting issues including software revenue recognition and related party transactions.
  • Deutsche Bank defends European Commission antitrust investigation into Credit Derivative Swaps (CDS)Jones Day represented Deutsche Bank AG in connection with two investigations by the European Commission (EC) into alleged anti-competitive agreements and/or abuse of dominance in relation to Credit Derivative Swaps (CDS).
  • Management consulting company represented in SEC investigationJones Day is representing a management consulting company in an SEC investigation concerning the company's financial disclosures, books and records and internal controls.
  • Georgia Gulf successfully defends against unsolicited proposal from Westlake ChemicalJones Day advised Georgia Gulf Corporation in the successful defense against a $1.6 billion unsolicited bid by Westlake Chemical Corporation to acquire all the outstanding shares of the company.
  • UN Procurement Reinstatement Ethics Professional for company seeking reinstatementJoan McKown, supported by a team of Jones Day attorneys, served as the ethics and compliance professional doing internal review of company's code of ethics and implementation of the code and submission of a report to the UN procurement office regarding findings.
  • Speaking Engagements

    • June 13, 2019
      2019 German Client Conference: New Challenges Crossing Borders
    • October 20, 2016
      PLI's Broker/Dealer Regulation and Enforcement 2016
    • October 22, 2015
      Current Issues in Securities Enforcement, panelist, PLI Broker-Dealer Regulation and Enforcement
    • September 15, 2015
      Executive Roundtable Series - Opportunities and Risks in the International Marketplace: Developments and Trends in International Trade, Export Controls, and Global Cybersecurity
    • May 15, 2015
      Ethics for Financial Services Lawyers: What In-House Counsel Need to Know, Financial Services Roundtable, Lawyers Council Spring Meeting
    • April 30, 2015
      Institute of International Bankers Annual Anti-Money Laundering Seminar, Practical Suggestions for Effective BSA/AML Compliance Programs
    • Various
      Cross Border Internal Investigations and Crisis Management, guest lecturer, Fordham University School of Law
    • February 9, 2015
      Current Issues in Corporate Compliance Programs, panelist, Fordham University School of Law Corporate Compliance and Corporate Governance Symposium
    • December 10-11, 2014
      Brazilian Companies and the U.S. Foreign Corrupt Practices Act: Exploring the Reach of the FCPA
    • June 13, 2014
      2014 Speaker Series: When Complaints Reach the Board: Bench and Bar Perspectives on Internal Corporate Investigations, the Use of Special Committees, and Judicial Oversight of Board Investigations
    • April 25, 2014
      Corporate Crisis Management, panelist, ABA Sixth Annual Insitute on Internal Investigations and Forum for In-House Counsel
    • April 1, 2014
      Antimoney Laundering Developments, panelist, 2014 SIFMA Compliance & Legal Annual Seminar
    • October 24, 2012
      PLI’s Broker/Dealer Regulation and Enforcement 2012
    • February 2, 2012
      Globalization of Anti-Corruption Enforcement: Russia
    • October 26, 2011
      PLI’s Broker/Dealer Regulation and Enforcement 2011
    • August 11, 2011
      The Dodd Frank P.S.: Living with Whistleblowers in a New Era of SEC Enforcement
    • August 7, 2011
      Will There Be Mutiny on the Bounty? The Risks of the Dodd Frank Whistleblower Provisions for Global Business, American Bar Association
    • June 30, 2011
      Managing Your Risk - Bribery, Corruption and Business Ethics
    • May 19, 2011
      Jones Day MCLE University - Chicago
    • May 2011
      Managing your Risk - Bribery, Corruption and Business Ethics
    • March 31, 2011
      Regulation and Enforcement of Broker-Dealers & Investment Advisers, American Conference Institute
    • October 27, 2010
      PLI’s Broker/Dealer Regulation and Enforcement 2010
    • April 22, 2010
      Enterprise Risk Management, 2010 Speaker Series
    • March 25, 2010
      Knowing, Managing, and Measuring your Corporate Compliance Risks and Needs - Dallas
    • March 24, 2010
      Knowing, Managing, and Measuring your Corporate Compliance Risks and Needs - Houston
    • June 2009
      Recent Developments in U.K. Anti-Corruption Law
    • October 29, 2008
      Coping with Broker/Dealer Regulation and Enforcement
    • June 10, 2008
      Dealing with the Government, panelist, Practising Law Institute, Internal Investigations 2008: Legal, Ethical & Strategic Issues
    • June 10, 2008
      Internal Investigations 2008: Legal, Ethical & Strategic Issues
    • April 16, 2008
      Conducting Cross-Border FCPA Investigations, moderator, Global Anti-Corruption Compliance & Ethics Conference
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