Jim Roberts is a former Manhattan Assistant District Attorney who now represents companies and individuals in matters including white collar defense, internal investigations, regulatory enforcement proceedings, securities litigation, and complex business litigation, where he has obtained numerous successful results for his clients. Clients regularly seek Jim’s counsel when confronting inquiries or allegations related to mail and wire fraud, health care fraud, securities fraud, bank fraud, and violations of the Foreign Corrupt Practices Act (FCPA), the Financial Institutions Reform, Recovery, and Enforcement Act (FIRREA), and the Sherman Anti-Trust Act. Jim possesses substantial experience in grand jury investigations and all aspects of criminal trial practice. 

In addition to his time at the Manhattan District Attorney’s Office, during which he investigated and successfully prosecuted a broad range of offenses, including violent crimes, complicated financial schemes, and criminal drug conspiracies, Jim has worked on some of the most significant investigations arising out of the financial crisis of 2008, including the defense of executives facing prosecution from multiple government enforcement agencies.  

In his civil practice, Jim represents clients in a variety of complex matters, including civil securities litigation, civil fraud suits, intellectual property disputes, and insurance coverage disputes. In addition, as a Certified Information Privacy Professional (CIPP/US), Jim is able to counsel clients navigating compliance with state, federal, and international laws, such as the California Consumer Privacy Act (CCPA), the General Data Protection Regulation (GDPR), and international data transfer mechanisms. 

As a result of his successful representations, Jim previously had been named a “Rising Star” by Super Lawyers for four consecutive years.

Jim is a member of the Federal Bar Council, as well as the Dartmouth Lawyers Association. He currently serves on the Board of Directors of Drone Forward Inc., a nonprofit organization providing educational opportunities related to unmanned systems to underserved communities. Before joining Schlam Stone and Dolan, Jim founded a boutique business consulting firm providing strategic counsel and executive coaching to company founders and executives. Prior to attending law school, Jim was an account executive and product manager at hotjobs.com, one of the first internet-based job sites. 

Representative Matters:

  • Represented senior executives of global financial services firm in federal criminal and SEC securities fraud investigations resulting in no prosecution
  • Convinced SEC to end investigation of individual for securities fraud
  • Represented senior executive of credit rating agency in federal and state mortgage ratings fraud investigations resulting in no prosecution
  • Represented various employees in federal criminal immigration investigation of international corporation
  • Secured non-prosecution agreement for national shipping company in state smuggling investigation
  • Obtained dismissal of forfeiture action seizing assets of a prominent Russian businessman
  • Obtained pretrial dismissal of all federal charges against waste-hauling company indicted for conspiracy and extortion
  • Convinced local New York prosecutor not to indict medical doctor for negligent removal of a reproductive organ

 

Additional Publications

  • Cybersecurity: Despite Lack of Regulatory Guidance, Companies (and Their Executives) Need to Protect Themselves, Author, Thompson Hine Business Law Update
  • Scope of ‘Honest Services’ Fraud Remains Uncertain, Author, Law360
  • Defending Electronic Searches and Seizures, Co-Author, New York Law Journal
  • Combatting Intercepted Co-Conspirator Statements with FRE 806, Co-Author, New York Law Journal
  • Represented senior executives of global financial services firm in federal criminal and SEC securities fraud investigations resulting in no prosecution
  • Convinced SEC to end investigation of individual for securities fraud
  • Represented senior executive of credit rating agency in federal and state mortgage ratings fraud investigations resulting in no prosecution
  • Represented various employees in federal criminal immigration investigation of international corporation
  • Secured non-prosecution agreement for national shipping company in state smuggling investigation
  • Obtained dismissal of forfeiture action seizing assets of a prominent Russian businessman
  • Obtained pretrial dismissal of all federal charges against waste-hauling company indicted for conspiracy and extortion
  • Convinced local New York prosecutor not to indict medical doctor for negligent removal of a reproductive organ