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Robert A. Johnston Jr.

Partner

New York / Washington, D.C.
T: +1 212.419.5898 / +1 202.549.5948 F: +1 973.597.2400 rjohnston@lowenstein.com
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  • EXPERIENCE
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Robert Johnston is a partner in the firm’s Investment Management Group and White Collar Defense Practice, and he focuses on internal investigations, SEC examinations and enforcement, regulatory compliance advice and counseling, compliance program design and implementation, cross-border due diligence, compliance auditing and monitoring, and commercial disputes. He regularly advises investment advisers, family offices, hedge funds and private equity funds, and their related portfolio companies on matters related to the Foreign Corrupt Practices Act (FCPA), anti-money laundering (AML) statutes and related know your customer (KYC) regulations, trade sanctions, and compliance best practices.

Rob has led investigations and compliance projects in over 30 countries across six continents on behalf of U.S. and multinational corporations. He has investigated alleged violations of AML, FCPA, OFAC, RICO, accounting fraud, securities fraud, procurement fraud, illegal gratuities, tax evasion, and employee embezzlement and misconduct. He frequently counsels clients on matters involving the U.S. Department of Justice, the U.S. Securities and Exchange Commission, and other state and local regulatory bodies.

In addition to complex regulatory enforcement matters and internal investigations, clients turn to Rob for his knowledge of compliance program design and implementation. He provides clear, commercial, practical, and actionable compliance advice that balances business objectives and risk management.

Furthermore, he has extensive experience with compliance monitoring, having advised a publicly traded financial institution through the timely resolution of a three-year monitor imposed by the DOJ and SEC, served as counsel to a World Bank-imposed monitor of a logistics company, and counseled a construction company as it agreed to the imposition of a World Bank-imposed monitor.

Prior to joining Lowenstein, Rob held several in-house legal and compliance roles at Sculptor Capital Management, formerly known as Och-Ziff, most recently as Managing Director and General Counsel-Asia and previously as Deputy Chief Compliance Officer. During his time at Sculptor, he developed an industry-leading FCPA and AML compliance program through the development and implementation of numerous proprietary, web-based, technological solutions.

Before Sculptor Capital, Rob practiced securities litigation at two Am Law 100 firms, with a focus on internal investigations, white collar defense, compliance advice, and M&A due diligence. He spent a year in the Shanghai office of one firm, where he acted on behalf of multinational corporations investigating allegations of bribery, corruption, and fraud in their Chinese and East Asian operations.

Rob’s pro bono work includes advising a South American nation on its judiciary modernization efforts and on the implementation of newly enacted anti-money laundering laws similar to the U.S. Patriot Act.

Rob speaks French and Spanish.

  • Conducted an internal investigation on behalf of a hotel development company into alleged FCPA violations in a Caribbean country
  • Defended an investment adviser in an SEC investigation and related enforcement proceedings related to alleged breaches of the Advisers Act arising from allegedly deficient and misleading Form ADV disclosures and the failure to adequately disclose conflicts of interests
  • Represented an investment adviser and its associated hedge funds in an SEC investigation into potentially unlawful securities trading in violation of Rule 105 and Reg. M
  • Defended a health care executive in a DOJ investigation into potential violations of the Anti-Kickback Statute and False Claims Act
  • Served as compliance counsel to investment advisers and their related hedge funds in SEC examinations, including the design and implementation of remedial measures in response to adverse examination findings
  • Provided compliance counseling advice to investment advisers, family offices, their associated hedge funds and private equity funds, and their portfolio companies related to compliance with federal securities laws, effective compliance program design and implementation, and compliance monitoring and testing.
  • Implemented compliance programs for venture capital backed technology start-ups
  • Served as compliance counsel conducting pre-acquisition due diligence and post-acquisition integration for financial institutions and industrial conglomerates
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Education

  • Fordham University School of Law (J.D. 2008); Dean’s List; Archibald R. Murray Award for Public Service; Addison M. Metcalf Labor Law Prize; Fordham International Law Journal; President, Fordham Law School Gay and Lesbian Student Association; Vice President, Phi Alpha Delta

    Georgetown University (B.A. 2002); Economics Honor Society; French Honor Society

Affiliations

  • National LGBTQ+ Bar Association

Admissions

  • New York
  • U.S. District Court for the Southern District of New York
  • U.S. District Court for the Eastern District of New York
  • District of Columbia

Related Areas

Additional Resources

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