Mauro M. Wolfe

Representative Matters

• Represented Soligenix, Inc. in connection with its appeal of a delisting determination by Nasdaq Stock Market LLC for failure to comply with Nasdaq Listing Rule 5450(a)(1) (requiring common stock to maintain a minimum closing bid price of $1 for 30 consecutive trading days) and Nasdaq Listing Rule 5550(b)(1) (requiring a minimum of $2.5 million in stockholders’ equity or meet the alternatives of market value of listed securities or net income from continuing operations). Defended a plan of compliance which included the approval of a reverse stock split of Soligenix’s common stock to increase the stock price well above $1 per share and the dividend of super-voting preferred stock that mirrored the actual vote of common stock in order to overcome shareholder apathy and insure approval of the reverse stock split by Soligenix’s stockholders.

• Obtained a favorable settlement on behalf of developer of unique block chain designed to make crypto tokens accessible to small businesses. The SEC filed a lawsuit against the developer as the lead defendant along with 3 co-defendants for securities fraud and the sale of an unregistered offering, seeking over $10 million in disgorgement. The final settlement contained favorable terms for the client, including settling with no admissions on a “neither admit or deny” basis, settling for less than 25% of the amount sought by the SEC, and avoiding a lifetime injunction from selling securities to the U.S.

• Represented renowned mooncake manufacturer Mei-Xin (Hong Kong) Limited, a subsidiary of Maxim’s Caterers Limited, in obtaining an appellate victory from the Third Circuit, reversing the grant of preliminary injunction against Maxim’s and Mei-Xin after Mei-Xin sought to terminate its distribution agreement with Golden Fortune Import & Export Corporation.

• Successfully represented a Fintech company subject to an SEC investigation, resulting in a resolution involving only a books and records violation, with no charges of scienter-based fraud or negligence, and a modest fine.

• Successfully represented defendant in a three co-defendant insider trading case. Facing 37 to 46 months in prison after pleading guilty in the SDNY, the client received a sentence of probation of 4 years, 4 months home confinement, and no penalty.

• Representing U.S. company for OFAC matters connected to Zimbabwe.

• Representing EU company related to OFAC matters involving South Sudan.

• Representing an Eastern European executive subject to foreign extradition proceedings in connection to a U.S. DOJ indictment for alleged trafficking of controlled substances.

• Representing a New Jersey Healthcare provider subject to an audit by the State of New Jersey, Office of the State Comptroller, Medicaid Fraud Division.

• Representing a subject of the Panama Papers investigation commenced by the U.S. Attorney’s Office for the Southern District of New York.

• Defended an Investment Manager, based in Puerto Rico and New York City, and Private Equity Fund subject to an investigation by the SEC based in Denver.

• Successfully defended publicly traded company subject to FINRA insider trading inquiry.

• Successfully defended US publicly traded LatAm company subject to US criminal investigation for immigration fraud resulting in a written declination from federal prosecutors and saving the client tens of millions in investigation fees.

• Defending major accounting firm before the New York Department of Financial Services.

• Defending trader in Asia before the Chicago Mercantile Exchange and the New York Mercantile Exchange.

• Representing 3 major New York institutions involved in matters before the New York Department of Financial Services.

• Successfully prosecuted civilly title 28 Section 1782 US Discovery in Aid of Foreign Proceeding for clients in Cayman Islands resulting, after depositions and production of documents, a favor settlement.

• Successfully defended trader in U.S. and Foreign joint LIBOR investigation resulting in no action.

• Successfully defended former employee of major consulting firm from SEC insider trading investigation resulting in no action.

• Successfully defended publicly traded fashion/apparel company in connection to FINRA insider trading inquiry.

• Successfully defended a senior finance employee of publicly traded company who is a target of a SEC insider trading investigation resulting in no action taken by the New York Regional Office of the SEC.

• Successfully defended client physician subject to an ongoing multiple state medical board inquiries and ongoing criminal investigation with no action against him.

• Defended client physician witness in ongoing DOJ criminal investigation.

• Successfully defended international medical device company in connection to an off-label marketing investigation by a DOJ Health Care Fraud unit with no action against the company.

• Defended Philadelphia-based Broker Dealer from FINRA examination and following on the record interviews.

Foreign Corrupt Practices Act

• Conducted investigation in Greece related to potential violations.

• Conducting risk assessment and creation of comprehensive global anti-corruption compliance program for US software developer.

• Completed risk assessment and creation of comprehensive global anti-corruption compliance program for $3 billion foreign company with operations in over 60 countries.

• Defending three clients in a high risk continent with regards to allegations of potential violations of the FCPA.

• Successfully defended global UK company related to FCPA and Bribery Act 2010 matters worldwide resulting in no charges.

• Conducted global FCPA risk assessment for leading software technology client with significant operations in Asia.

Areas of Practice

• Securities Enforcement
• Complex Civil and Administrative Litigation
• Internal Corporate Investigations

• Office of Foreign Asset Control

• White-Collar Criminal Law
• Foreign Corrupt Practices Act compliance, due diligence, investigations, and defense

Admissions

• New York
• New Jersey
• Pennsylvania

Education

• Temple University Beasley School of Law, J.D., 1996
• Indiana University of Pennsylvania, B.S., 1990

Experience

• Duane Morris LLP
  - Partner, 2011-present
• U.S. Attorney's Office District of New Jersey
  - Assistant U.S. Attorney, Securities and Health Care Fraud Unit, 2003-2006
  - Special Assistant U.S. Attorney for the District of New Jersey, 2001-2003
• U.S. Securities and Exchange Commission
  - Senior Attorney, Enforcement Division, 1999-2003
• Philadelphia District Attorney's Office
  - Assistant District Attorney, Narcotics, 1997-1999

Professional Activities

• Criminal Law Committee of the International Bar Association
  - Co-Chair

• Criminal Law Committee of the International Bar Association - Advisory Board
  - Member

• American Bar Association Securities Litigation Committee
  - National Co-chair, Subcommittee on White Collar & Corporate Investigations, 2013-2014

• New York Council of Defense Lawyers (2009)

• Co-founder, Hispanic Lawyers Society of New York (2007)

Honors and Awards

• Listed in New York Super Lawyers, 2012-2020

• Named to Corporate America's Legal Elite 2015 - Best for International White-Collar Criminal Defense - New York
• Named to Council of Urban Professionals' CUP Catalysts: Change Agents 2013 | Law, 2013
• Inducted into Indiana University of Pennsylvania's Eberly College of Business and Information Technology Hall of Distinction, 2013
• AV® Preeminent™ Peer Review Rated by Martindale-Hubbell

No aspect of these rankings has been approved by the Supreme Court of New Jersey. Further information on methodologies is available via these links.

Selected Publications

• Contributor, Duane Morris White Collar Criminal Law Blog
• Quoted, “Could 14th Amendment Rule Out Trump Second Term?” International Bar Association, October 3, 2023
• Co-author, "U.S. Steps Up Enforcement of Foreign Corrupt Practices Act in Latin America," Duane Morris Alert, February 14, 2023
• Co-author, "SEC Issues First Charges for False Disclosures Concerning the COVID-19 Pandemic," Duane Morris Alert, December 10, 2020

• Quoted, "Cyber Espionage: China Intensifies Tech Cold War," International Bar Association, April 10, 2019

• Quoted in "There May Be 'No Do-Overs,' but SEC Hack Provides Important Security Lessons," The National Law Journal, September 25, 2017
• Co-author, "U.S. Aims to Increase Transparency in Order to Combat Offshore Abuses in Wake of Release of Panama Papers," Duane Morris Alert, May 6, 2016
• Author, "U.S. Department of Justice Announces New FCPA Pilot Program Designed to Encourage Companies to Self-Report Bribery," Duane Morris Alert, April 7, 2016
• Co-author, "SEC Targets Investment Adviser Community," Duane Morris Alert, November 12, 2013; Republished by Journal of Investment Compliance, Vol. 15, No. 1, 2014
• Co-author, "HFT Spoof That Wasn't Funny," Compliance Monitor, September 2013
• Co-author, "Serious Fraud Office Issues Draft Code of Practice on Deferred Prosecution Agreements," Duane Morris Alert, July 3, 2013
• Co-author, "Unprecedented FCPA Wake-Up Call for U.S. Broker-Dealers and Foreign Banks: Has the Perfect FCPA Storm Finally Arrived for U.S. Financial Markets?" Duane Morris Alert, May 14, 2013
• Co-author, "Use It or Lose It: U.S. Supreme Court Holds the SEC Must Bring Civil Enforcement Actions Within Five Years of Wrongful Conduct," Duane Morris Alert, February 28, 2013
• Co-author, "Tougher Revised UK Bribery Act Policies," The Corporate Counselor, December 2012
• Co-author, "Serious Fraud Office Issues Tougher Revised UK Bribery Act Policies," Duane Morris Alert, October 9, 2012

Selected Speaking Engagements

• Presenter, “The Immediate Future of Compliance, an Earthquake Change or Incremental Difference,” The European Integrity and Compliance Forum, Düsseldorf, Germany, November 5, 2024
• Speaker, "Digital Assets and the Future of Financial Services," International Bar Association Annual Conference, September 17, 2024
• Speaker, "Update on Accounting-Related Regulatory and Enforcement Trends," Practising Law Institute (PLI) Basics of Accounting for Lawyers, May 16, 2024
• Speaker, "Corporate & Regulatory Compliance Boot Camp: Foreign Corrupt Practices Act Compliance," West Legal Education Center, Webinar, March 28, 2024
• Speaker, "U.S. Law Enforcement Targets Growing Global Crypto Markets: The Jaguar in the Jungle - What Every Brazilian Crypto Actor Must Know Now," Duane Morris Webinar, March 18, 2024
• Speaker, "Internal Investigations 101," Financial Pose Corporate and Regulatory Compliance Boot Camp, May 24, 2023
• Speaker, "Regulatory/Sanctions and Cryptocurrency Litigation," Duane Morris Fintech General Counsel Roundtable, Webinar, December 2, 2022
• Panelist, "Foreign Corrupt Practices Act Compliance," Financial Poise and West Legal Corporate & Regulatory Compliance Boot Camp, Webinar, March 30, 2022
• Panelist, "Diversity, Equity, and Inclusion in a Professional Workplace," Indiana University of Pennsylvania Webinar, March 17, 2021

• Moderator for panel, "Cross-border Enforcement of Trade Sanctions," IBA Annual Conference Rome, Roma Convention Center La Nuvola, Rome, Italy, October 10, 2018

• Panelist, "Broken Windows and New Frontiers: The Increasingly Long Arm of Anti-Corruption Law," 21^st Annual IBA Transnational Crime Conference, Sheraton Grand Krakow, Krakow, Poland, May 17, 2018

• Speaker, "African Fellowship Program 2015: Liberia," Widener University Delaware Law School, August 25-27, 2015
• Speaker, "Regulatory Risks for Private Equity Funds When Expanding Abroad," Dealmaker Series, BDO, August 6, 2015
• Panelist, "Whistleblowing: The Process, Benefits and Pitfalls," MetroLALSA 5th Annual Pa'lante Conference, New York City, New York, April 18, 2015
• Speaker, "What's Your Plan? Responding to Government Investigations," Driven Speaker Series, New York, November 17, 2014
• Speaker, "Death at the Hands of the State" and "The Unusual Suspects: The In-House Counsel, Compliance Officer and External Counsel as Criminal Accused," International Bar Association's Annual Conference, Tokyo, October 19-24, 2014
• Speaker, "Assembling the Pieces: Assessing Roles and Responsibilities in Producing Effective and Responsive Internal Investigations Team," New York Law Journal Webinar, November 18, 2013
• Speaker, "The Use of Private Investigators, Experts and Forensic Accountants," International Bar Association (IBA) Transnational Crime Conference, Miami, May 17, 2013
• Moderator, "Foreign Corrupt Practices Act: What You Need to Know About SEC and DOJ Enforcement," 2013 Hispanic National Bar Association (HNBA) Midyear Corporate Counsel Conference, Atlanta, March 15, 2013
• Speaker, "Ethics and Anti-Corruption Enforcement," Practising Law Institute's Seminar on Doing Deals in and with Emerging Markets: BRIC and Beyond 2012, New York City, July 12, 2012
• Panelist, "White Collar Crimes: Recent Cases / Internal Investigations," 2012 Hispanic National Bar Association 3rd Annual Midyear Corporate Counsel Conference, Jersey City, New Jersey, March 30, 2012
• Speaker, "Building Winning White-Collar Cases," University of Maryland, Robert H. Smith School of Business, Forensic Accounting course, Annapolis, Maryland, June 18, 2011