Nicholas A. Mongelluzzo

Counsel
Nick Mongelluzo

Nick Mongelluzzo represents clients facing civil and criminal government enforcement actions, including in response to state and federal investigations and litigation. Nick also conducts internal corporate investigations into reported misconduct and in response to whistleblower complaints. He has represented clients under investigation by the U.S. Department of Justice (DOJ), Securities and Exchange Commission (SEC), U.S. Attorneys’ Offices, inspectors general, and state attorneys general, among other U.S. and international regulators and enforcement agencies.

Nick has experience representing clients facing liability under a variety of state, federal, and foreign laws, such as the Foreign Corrupt Practices Act (FCPA), the Anti-Kickback Statute, and the False Claims Act. He has also counseled clients through matters involving federal securities; state, federal, and international bribery; consumer protection; and tax, bank, wire, and mail fraud.

Nick recently worked on internal investigations in Europe and the Middle East for a public technology company and represented a law firm of over 200 attorneys in a public corruption investigation in the United States. The clients he represents span a range of industries, including technology, energy, consumer goods, transportation and logistics, real estate, life sciences, financial services, government contracting, and the nonprofit sector. Nick also advises clients on compliance and corporate governance matters, including designing and implementing anti-bribery and corruption compliance programs and information management policies.

As part of Nick’s pro bono practice, he has successfully represented refugees and their families fleeing gang violence in El Salvador who are seeking asylum before the U.S. Immigration Court. He has also represented victims of domestic violence in peace and protective order proceedings before Maryland State Courts. 

Nick is an active member of the Baltimore community. A former teaching volunteer with Junior Achievement of Central Maryland, Nick now serves on the Associate Leadership Council of the organization, which is dedicated to educating Baltimore-area youth on issues of financial literacy and entrepreneurship.

Experience

Representative Matters

Government and Internal Investigations

  • Representing 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
  • Conducting an internal investigation for an international technology company in response to allegations of FCPA and UK Bribery Act violations in Turkey
  • Representing a law firm in a federal public corruption investigation into alleged bribery of a state official. As a member of a team of attorneys, Nick managed response 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 4-week trial of the partners
  • Investigating 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
  • Conducting an internal investigation in Brazil for a multinational corporation into allegations involving financial integrity
  • Represented a medical equipment provider in connection with its self-disclosure of potential overpayments to the Health and Human Services Office of the Inspector General
  • 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
  • Representing 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

Compliance Programs, Training, and Advisory Guidance

  • 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 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 a professional credential chartering organization and advised on implementation issues

Litigation

  • Representing 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 includes 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

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

Insights

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

Recognition
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  • The Best Lawyers in America, Ones to Watch, 2021 – 2023

Community
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Volunteerism

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