Partner, New York Phone +1-212-558-3121 Fax +1-212-558-3588 Add to Address Book

Robert Giuffra is a partner in Sullivan & Cromwell's Litigation Group. His practice focuses on complex securities, white-collar criminal, class action, commercial, insurance, banking and tax litigation.

Mr. Giuffra has represented corporations and individuals at trial and on appeal in federal and state civil and criminal litigation, before arbitration panels and in investigations and proceedings involving the Securities and Exchange Commission, the U.S. Department of Justice, the U.S. Congress, the Internal Revenue Service, and the New York State Attorney General. He regularly advises senior executives and boards of directors on significant litigation and regulatory matters.

Mr. Giuffra’s corporate clients have included The Bank of New York, Biovail Corporation, Computer Associates, Exxon Corporation, Goldman Sachs, ING Group, Oxford Health Plans, Philips Electronics, Tudor Investment Corporation, UBS, UnitedHealth Group, Van der Moolen, and Vornado Realty Trust. His individual clients have included prominent executives, lawyers and government officials.

He currently represents clients in government investigations and securities class actions arising out of the subprime mortgage crisis; the bankruptcy of Enron; the accounting fraud at HealthSouth Corporation; and specialist trading on the New York Stock Exchange.

Mr. Giuffra is the coordinator of the Firm’s Securities Litigation Practice, the co-head of Business Development and a member of the Firm’s Management Committee.

Selected Cases

Corporate Clients

• Counsel to UBS in significant pending matters involving subprime securities, HealthSouth Corporation and Enron. Obtained the dismissal of a federal securities action by an investment management company seeking ¥18.5 billion in alleged damages for an investment in Enron credit-linked notes, and the dismissal of NASD arbitrations brought by UBS customers involving Enron securities.
• Counsel to the Audit Committee of the Board of Directors of Computer Associates in an internal investigation of accounting fraud and obstruction of justice by senior executives. Then, represented Computer Associates in resolving Department of Justice and SEC investigations, including negotiating a deferred prosecution agreement.
• Counsel to CA, in successfully arguing to the Delaware Supreme Court that a proposed shareholder bylaw requiring the mandatory reimbursement of proxy solicitation expenses of short slate candidates was invalid. In ruling in the first case ever certified by the SEC to the Delaware Supreme Court, the Court set forth important guidelines on the permissible scope of shareholder bylaw proposals.
• Counsel for Oxford Health Plans, in obtaining the dismissal of an action by the State of Connecticut alleging ERISA violations by Oxford and seven other managed care organizations; in government investigations and related securities class action and derivative litigation arising out of the 1997 collapse of Oxford’s stock price; in the successful arbitration of a claim seeking rescission of a multi-million dollar reinsurance contract; and in class actions by Oxford customers and medical providers challenging various Oxford business practices.
• Successfully defended Vornado Realty Trust in the Appellate Division, First Department against claims by Donald Trump relating to the sale of the "Riverside South" properties on the West Side of Manhattan. Trump claimed the sale price undervalued the property by more than $1 billion.
• Represented UnitedHealth in obtaining, and defending on appeal, dismissal of action on behalf of hedge funds seeking to accelerate $850 million of UnitedHealth's notes.
• Represented Biovail Corporation in obtaining a dismissal of a class action claim alleging various false and misleading public statements concerning the FDA approval process of a new drug application.
• Represented leading banking associations in obtaining favorable rulings from the U.S. Supreme Court barring “scheme” liability under Section 10(b) of the Securities and Exchange Act (Stoneridge) and limiting the power of the States to regulate the operating subsidiaries of national banks (Watters).
• Following trial, obtained judgment for Philips Electronics in Lanham Act action brought by Gillette over advertising for electric razors.
• Represented The Bank of New York in litigation over a merger agreement with Northeast Bancorp.

Individual Clients

• Represented Steven Roth, Chairman & CEO of Vornado Realty Trust, at trial and on appeal in obtaining the dismissal of civil federal securities claims.
• Counsel to lawyer Armand D'Amato, brother of then U.S. Senator Alfonse D’Amato, in obtaining the dismissal by the U.S. Court of Appeals for the Second Circuit of all federal criminal charges against him.
• Represented E. Robert Wallach, counsel to former U.S. Attorney General Edwin Meese (Wedtech investigation), in connection with reversal by U.S. Court of Appeals for the Second Circuit of his federal criminal conviction and, after a jury failed to reach a verdict at his retrial, the subsequent dismissal of all charges against him.
• Represented David Duncan, former lead Arthur Andersen engagement partner for Enron. Following reversal of Arthur Andersen’s conviction, federal court granted motion to vacate Mr. Duncan’s guilty plea.
• Defended Albert Pirro, husband of then Westchester County, N.Y. District Attorney Jeanine Pirro, in federal criminal tax trial. Obtained pre-trial dismissal, affirmed on appeal, of portion of indictment.

Government Service

• From 2007 to 2009, Mr. Giuffra served as one of 13 members of the New York State Commission on Public Integrity, which interprets, administers and enforces the ethics and lobbying laws governing New York State government.
• From 1998 to 2007, Mr. Giuffra served as one of the five Commissioners of the New York State Ethics Commission, which interpreted, administered and enforced the ethics law governing the Executive Branch of New York State government.
• From 1995 to 1996, Mr. Giuffra served as the Chief Counsel of the U.S. Senate Committee on Banking, Housing, and Urban Affairs. He was a primary drafter of the Private Securities Litigation Reform Act of 1995.
• In 1994, Mr. Giuffra served on the Criminal Justice Advisory Committee of New York Governor-Elect George E. Pataki.
• From 1991 to 1992, while at Sullivan & Cromwell, he served as a Special Assistant District Attorney, County of New York.

Professional Activities and Community Involvement

• The Federal Bar Council – President
• The New York Law Journal – Board of Editors
• Second Circuit Judicial Conference Planning and Program Committee – Member
• Yale Law School Center for the Study of Corporate Law – Board of Advisors
• Alliance for Downtown New York and Downtown Lower Manhattan Association – Director
• Frequent speaker on securities class actions and government and internal investigations

Rankings and Recognitions

• Directorship magazine– selected as one of the 100 "most influential people on corporate governance and in the boardroom" (2008, 2009)
• Recipient, 2008 Burton Award for Legal Achievement
• Euromoney's Benchmark: America's Leading Litigation Firms and Attorneys – recognized as a Star for General Commercial Litigation (National) and Litigation (New York) (2008, 2009, 2010)
• Chambers USA: America's Leading Lawyers for Business – recognized as a leading litigator in Securities (2004, 2005, 2006, 2007, 2008, 2009), White-Collar Crime & Government Investigations (2004, 2005, 2006) and General Commercial (2007, 2008, 2009)
• The Best Lawyers in America and The Best Lawyers in New York – recognized for both Commercial Litigation (General) and White-Collar Criminal Defense (2005, 2006, 2007, 2008, 2009, 2010)
• The Legal 500 US, Volume 3: Litigation – Recommended Lawyer for Securities: Shareholder Litigation (2007, 2008, 2009) and for SEC Investigation and Enforcement (2007)
• The Legal 500 US, Volume 1: Corporate & Finance – Recommended Lawyer for Corporate Governance and SEC Investigations (2006, 2007)
• New York Super Lawyers – recognized in Securities Litigation (2007, 2008, 2009), selected as one of "The Top 100 New York Super Lawyers," and recognized in Securities Litigation (2006)
• Lawdragon – selected as one of "100 Lawyers You Need to Know in Securities Litigation" (2008), "500 Leading Lawyers in America" (2007 and 2008) and "500 Leading Litigators in America" (2006)
• Crain's New York Business – profiled as one of "five top white-collar defense attorneys working in New York City today" (September 23, 2002)
• Roll Call – identified as a "key member of the Congressional Ethics Bar." (January 15, 2001)
• Los Angeles Times – identified as one of six leading "Capital Counselors" who represent "some of the nation’s best known clients" (July 30, 1998)
• The National Law Journal – selected as one of 40 lawyers under 40 who are "Rising Stars in the Law" (November 20, 1995)