Rick C Liu

Rick Liu is an associate with the firm’s White Collar & Investigations practice. Rick advises and defends a broad range of clients including chief executives, directors and officers, broker-dealers, hedge funds, committees, and accounting firms in shareholder litigation, and criminal and civil government investigations.

Rick has extensive experience representing clients facing allegations of securities fraud, insider trading, financial fraud, and Foreign Corrupt Practices Act (FCPA) violations before the U.S. Department of Justice, Securities Exchange Commission, and the Financial Industry Regulatory Authority. He has also participated in a number of internal investigations aimed at identifying regulatory violations. He has extensive international experience having conducted investigations in Africa, Europe and Asia. Rick also assists clients in evaluating their compliance and anti-corruption programs and provides recommendations to strengthen internal controls, combat regulatory violations and reduce future liability.

Rick currently represents an FCPA corporate monitor appointed by the DOJ and SEC to oversee a large multinational corporation’s governance reforms in connection with its deferred prosecution agreement and settlement with the U.S. Government.

Rick also has significant securities litigation experience with particular depth in California and Delaware-based actions, and extensive experience in shareholder litigation having recently represented companies like Cogent Inc., Mentor Corp., NetSol Technologies and SoftBank Corp.