Nicholas A. Mongelluzzo

Representative Matters

Government and Internal Investigations

• Conducted more than 80 investigations on behalf of a major financial institution into issues surrounding the fraudulent origination of high-value mortgage loans, involving parallel civil and criminal litigation, numerous third parties, and complex fraud schemes
• Represented an executive of a U.S. issuer in parallel Department of Justice (DOJ) and Securities and Exchange Commission (SEC) investigations into potential violations of the FCPA. Resolved without any charges filed against the client
• Conducted an internal investigation for a U.S. bank client into issues surrounding the hiring of contractors and employees using fraudulent credentials
• Represented a municipal government official in an investigation by the Maryland State Prosecutor’s Office into allegations of self-dealing and misconduct in office.Successfully resolved the investigation without any charges filed
• Conducted an investigation on behalf of a nonprofit foundation into the use of foundation funds by an elected public official in connection with a political campaign
• Represents a delivery services company in a multi-state attorney general consumer protection act investigation
• Conducted an internal FCPA/UK Bribery Act compliance investigation into payments made to government officials in connection with a high-value infrastructure project in West Africa
• Represented a publicly traded REIT in parallel investigations by the DOJ (Market Integrity and Major Frauds Unit) and the SEC into the company's electricity billing practices and related disclosure issues. The investigations concluded with no adverse action against the client
• Conducted an internal investigation for an international technology company in response to allegations of FCPA and UK Bribery Act violations in Turkey. Investigation included the review of tens of thousands of documents in multiple languages, over thirty witness interviews in multiple jurisdictions and analyses of high-risk counterparties, off-books funds, excessive gifts, travel, entertainment and hospitality expenses, and the implementation of successive remedial actions
• Represented a law firm in a federal public corruption investigation into alleged bribery of a state official. As a member of a team of attorneys, managed responses to grand jury and trial subpoenas, prepared firm attorneys and employees for trial, analyzed complex privilege issues, and represented the firm's interests during a four-week trial of the partners
• Conducted an internal investigation on behalf of the board of directors of a major life sciences research nonprofit into allegations by former officers into issues of conflicts of interest, kickbacks, accounting irregularities, and other financial impropriety
• Represented a government contractor in its disclosure of fraudulent conduct committed by its then-CEO in connection with COVID-19 government loans and grants
• Conducted multiple internal investigations for a home security services and equipment provider related to ongoing parallel investigations by the DOJ, Federal Trade Commission (FTC), and state attorneys general in connection with the company's consumer financing practices
• Investigated accounting irregularities identified by external auditors surrounding high-value sales at a publicly traded multinational health and wellness company
• Represented an international health organization in an internal review of practices and policies regarding human rights issues in the Caribbean and South America
• Conducted an internal investigation in Brazil for a multinational corporation into allegations involving financial integrity issues at its Brazilian subsidiary. The investigation involved the review of hundreds of thousands of documents in multiple languages, over 90 witness interviews, and a comprehensive analysis of implications under U.S. and Brazilian law
• Represented a medical equipment provider in its self-disclosure of overpayments to the Health and Human Services Office of the Inspector General (HHS-OIG). Successfully resolved the matter with no fines or penalties being sought from the company or its owners
• Represented a third-party location data company in its successful opposition to a federal grand jury subpoena seeking personal tracking data
• Conducted an internal investigation for a national mortgage association in relation to potential securities fraud violations
• Represented a subscription services aggregator in a state deceptive trade practices investigation
• Represented a pharmaceutical payment assistance provider in response to grand jury subpoenas investigating potential anti-kickback statute violations
• Conducted an independent internal investigation of a real estate investment trust in response to whistleblower allegations of fraud, mismanagement, and corporate waste
• Represented a non-U.S. pharmaceutical client in response to securities regulator subpoenas in Canada
• Represented a state government subcontractor in response to a grand jury subpoena issued by the U.S. Attorney's Office relating to the subcontractor's potential involvement in a fraudulent kickback scheme
• Represented a former controller of a publicly traded company in parallel DOJ and SEC investigations relating to tipping and insider trading allegations

Litigation

• Represented the Baltimore Banner in its Maryland Public Information Act litigation with the Maryland Office of the Chief Medical Examiner over the office’s wrongful denial of access to more than 10 years of autopsy report records, resulting in a complete victory on all counts for the Banner
• Represented a multinational logistics company in pursuing fraudulent actors in connection with the procurement of personal protective equipment (PPE) in multiple jurisdictions in Europe and Asia. Representation included civil litigation in the United States, Switzerland, South Korea, Malaysia, and Vietnam, as well as parallel criminal complaints and asset seizure actions
• Represented a national asset management company in multiple civil actions against a former subcontractor related to embezzlement and fraud claims
• Represented a major regional retailer in a contract dispute with a national vendor over breach of contract and failure to pay claims before a state court
• Represented a national health insurance provider against a state insurance commissioner in U.S. District Court in relation to the commissioner's mandatory spending directives

Compliance Programs, Training, and Advisory Guidance

• Advises a high-volume subpoena recipient on policies and procedures regarding grand jury and investigatory subpoena responses
• Provides records retention and management advice for an international biotechnology company
• Drafted an anti-corruption policy for a multinational pharmaceutical company, including implementation of compliance with French and Chinese law
• Provided anti-corruption training to employees of a multinational consumer products importer
• Advised a financial investment firm on employment considerations implicating the FCPA and the UK Bribery Act
• Advised a nonprofit association on gift giving and conference hosting FCPA issues
• Advised a national trade association on corporate governance concerns regarding structure of internal investigations, ethics, and compliance departments
• Drafted an information governance policy for an international professional credential chartering organization and advised on implementation issues

Regulatory Proceedings

• Represented Exelon Corp. and Pepco Holdings, Inc. (PHI) in their regulatory merger proceedings and subsequent litigation, gaining the approval of the Maryland Public Service Commission to bring together Exelon's and PHI's electric and gas utilities
• Managed the state regulatory discovery process for a multi-billion-dollar international utilities company merger
• Advised a retail energy provider on the handling of state utilities disputes from customers before state courts and the state public service commission

Education

• J.D. University of Virginia School of Law 2014
• • Member, Editorial Board, Virginia Journal of Criminal Law
• B.A. Government and Politics magna cum laude University of Maryland, College Park 2011

Bar Admissions

• Maryland
• District of Columbia

Court Admissions

• U.S. District Court for the District of Maryland
• U.S. Court of Appeals for the Fourth Circuit

Professional Memberships and Activities

• Member, American Bar Association
  • Member, Forensic & Investigative Practices Committee, White Collar Crime Division, Criminal Justice Section
  • Member, International Anti-Corruption Committee, International Law Section
• Member, Maryland State Bar Association
• Member, Bar Association of Baltimore City
• Member, District of Columbia Bar Association

• The Best Lawyers in America, Ones to Watch, 2021 – 2025

Volunteerism

• Member, Canton Community Association
• Member, University of Maryland Alumni Association
• Member, Terrapin Club
• Member, Associate Leadership Board, Junior Achievement of Central Maryland