Leslie E. Fourton lesliefourtonesq@gmail.

com | New York, NY, 10021, US

H: 917-922-2891 W: 800-677-6040
General Counsel / Corporate & Litigation Attorney
Summary
Seasoned Associate & General Counsel ready to deploy 12 years of achievement to guide organizations through high stakes, bet-the-
company litigation. Doggedly champion clients' interests to achieve best outcomes in high-profile legal cases while applying expertise
as first-chair litigator, trial attorney, external consultant, and in-house corporate lawyer. As an effective leader readily apply
negotiation and problem solving to resolve highly charged disputes while fostering consensus to create common purpose. Facilitate
U.S. and international success by implementing investment management, marketing, ISDA Master Agreements, and compliance
strategies.

Qualifications Summary
 Possess Juris Doctor/Master of Laws and licensed to practice law in New York, New Jersey, Texas, Colorado, the
District of Columbia, and Federal Courts including the U.S. Supreme Court. 

 FINRA and National Futures Association Member, Certified Anti-Money Laundering Specialist, Series 65 Securities
License, NASAA Registered Investment Advisor (NY), and Registered Commodities Trading Advisor.

 Expert in Employment Law with a track record of successfully championing interests of global clients while leading
multidisciplinary teams and serving as First Chair Attorney in state and federal litigation. Specialize in guiding clients
through arbitration and regulatory investigation. Current affiliations include 360 Business Law America, Inc.
Professional Experience
Corporate and Litigation Attorney, February 2016 - Present
Clients: 360 Business Law America, Inc., Cravath Swaine & Moore LLP, Sullivan & Cromwell LLP, Motley Rice LLC, New
York, NY
Litigate complex civil actions including antitrust, bankruptcy, commercial, labor and employment, intellectual property, inverse
condemnation, oil & gas, real estate, structured finance, shareholder derivative and securities class action, and utility
lawsuits involving capital markets, healthcare, labor, mass tort, personal injuries, wrongful death, real estate, social media,
gaming, technology and medical products matters. Advocate in asbestos, toxic exposure, LIBOR manipulation prosecutions, trade
secrecy program matters, and Foreign Corrupt Practices Act cases, as well as American Disabilities Act litigation and unfair business
practices. Lead regulatory investigations into capital markets, corporate governance, financial, private
equity, partnerships, mergers, and acquisitions. Prepare clients, argue motions in court, and negotiate settlements. Build case
strategies. Manage accounts, licensing, employment contracts, and non-compete agreements.

 360 Business Law America Inc., New York, NY June 2020 - Present: Act on behalf of global human resource and technology
corporations in multiple areas including breach of contract, American Disabilities Act, Fair Labor Standards Act, reductions in
force, whistleblower complaints, mandatory arbitration, and return-to-work protocols. Serve as first chair and lead teams while
litigating in multiple jurisdictions including AAA and JAMS arbitration entities as well as state and federal trial and appellate
courts. Won complex technology recruiting industry litigation involving trade secrets. Act as Subject Matter Expert in federal
wage and leave; FMLA, FLSA, and Texas Payday Act; and CO, NJ, NY, and TX state laws.

 Cravath Swaine & Moore LLP, June 2019 - May 2020; January 2021 - March 2021: Conducted deep-dive legal research,
analysis, negotiations, and authored memorandums for intellectual property and utility litigation investigations. Collaborated with
colleagues to complete reporting case reviews, investigation findings prior to U.S. District Court Northern District of California
trial. Assisted with deposition preparation including client preparation for tort claims arising out of the wildfires in California and
bankruptcy of PG&E. Litigated landowner and utility cases related to the California wildfire.

 Sullivan & Cromwell LLP, New York, NY May 2020 - October 2020; December 2020 - January 2021:  Litigated high stakes
civil and white-collar civil cases, including SEC and civil securities investigations into the financial industry regarding
LIBOR manipulation. Oversaw regulatory inquiries from U.S. Securities and Exchange Commission, Office of the Attorney
General of the State of New York, and U.S. Department of Justice. Counseled asset management organizations in
litigation, compliance, employment, and transactional matters. Responded to USSEC, USDOJ, and NYAG investigations, a
USDOJ Second Request Antitrust investigation, as well as other investigations, and trials. Researched myriad of legal matters
including antitrust, commercial, securities and oil and gas mergers.

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 Motley Rice LLC, February 2016 - September 2017: Litigated complex SEC and civil antitrust, securities, and LIBOR
investigations involving derivative manipulation. Played a central role in drafting and negotiating ISDA Master Agreements,
including CSAs relating to VM and IM margin regulations, prime brokerage, Labor & Employment, and Consumer Agreements.
Demonstrated outstanding negotiating skills by completing agreements related to investment management funds, commercial
agreements, and corporate contracts including vendor contracts. Drove process improvements by creating policies and procedures,
regulatory manuals, contract templates, employee handbooks, and ERISA training materials. Exceeded expectations as a Team
Leader while coaching attorneys through an intricate antitrust and securities case that required expertise in fraud and Libor
manipulation matters.

Corporate and Regulatory Attorney Consultant, October 2020 - Present

Clients: Discover Financial Services, Inc. and Citigroup, New York, NY
As a corporate and regulatory consultant, foster a culture of compliance for banking and financial services organizations. Research and
evaluate international, state, and federal banking and consumer laws such as the Truth-In-Lending Act, Equal Credit Opportunity Act,
and Regulation B. Author and update summaries, create model regulatory briefs, and draft memorandums. Guide teams in defining
compliance risk metrics. Facilitate implementation of compliance strategies, programs, policies, and practices while mitigating risk.
Revamp legal and compliance programs, policies, and operations.

 Discover Financial Services, Inc. (March 2021 – Present): Champion culture of compliance within capital markets and deliver
vital support as Regulatory Legal Strategy Team member. Identify and manage legal and compliance risks while improving
processes. Deliver crucial guidance to centralized legal team complete a regulatory project and enterprise-wide initiative.
Investigate laws and regulations to identify compliance issues pertaining to operations in U.S. and internationally.

 Citigroup, New York, NY, October 2020 - December 2020 Promoted culture of compliance as a member of the Regulatory
Compliance Strategy Team by supporting initiatives to mitigate risk. Streamlined processes. Played key role in completion of
regulatory and enterprise-wide projects by delivering legal and operational support to the centralized compliance team.
Tracked adherence to internal compliance risk policies. Analyzed complex comparative data prior to developing and presenting
regional and global reports, which included compliance risk assessments.

Corporate and Attorney Consultant, February 2013 - January 2016

Mayer Brown LLP, New York, NY

Led SEC and Criminal Antitrust Investigations and litigation concerning commercial real estate. Participated in all aspects of
antitrust, bankruptcies, capital markets, securitizations, securities, and intellectual property patent litigations. Supported colleagues in
examining SEC-registered and Rule 144A offerings. Assisted with copyright and patent intellectual property matters in federal court.
Conducted due diligence of intellectual property patents and breach of contract matters. Ensured compliance with GAAP accounting
principles, ERISA, and Chapters 11 and 13 bankruptcy standards. Argued motions in the U.S. District Court for the Southern District
of New York. Created litigation strategies for DOJ and SEC investigations.

 Settled class action matters for investment banks as a Securities, Structured Finance, and Securitization Team member.
 Initiated a deep dive investigation into an intellectual property patent matter before the U.S. Patent and Trademark Court.
 Prepared high-profile residential mortgage-back securities cases on behalf of full-service investment banks relating to
Residential and Commercial Mortgage-Backed Securities (RMBS; CMBS), FINRA, ERISA, and intellectual property matters. 
 Coached institutional asset management clients in compliance, regulatory and transactional matters. Clients included
corporations, hedge funds, private equity firms, and investment management firms.
 Represented clients at U.S.S.D.N.Y. motions hearings, ex-parte matters, and case management conferences.

General Counsel, Lead Counsel Internal Operations, September 2017 - June 2019
Swan Global Investments LLC, Denver, CO; New York, NY
Directed legal operations for SEC registered investment adviser financial firm with $10B in assets under management. The firm
specialized in managing private equity and other capital markets assets. Focus included arbitrations and federal and state civil
litigations including matters involving the AAA, JAMS and FINRA. Drafted and negotiated investment management and
employment agreements and guidelines. Advised on regulations, product development, Form ADV disclosure, and delivery.
Defended and prosecuted cases involving contracts, labor & employment, fraud, intellectual property, non-
compete agreements, securities, software, real estate and financial disputes. Managed outside counsel, internal Transaction Counsel,
and Chief Compliance Officer. Oversaw AML / OFAC Investigations.

 Guided the company's U.S. retail Separately Managed Accounts (SMA), sub-advisory, and model portfolio businesses on
regulatory and compliance issues relating to asset management businesses including mutual funds and family offices.  
 Strengthened relationships with US Wealth Advisory channels and model portfolio businesses while updating decision-makers
about legal, compliance and business issues/risks.
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 Partnered with President and Chief Operating Officer to ensure success in complex FINRA arbitration, litigation, transactional,
labor and employment, ERISA, and compliance issues.
 Investigated alleged employee breach of contract, ethical violations, conflicts of interest, misappropriation of trade secrets, breach
of fiduciary duties, interference with contracts and business relationships, fraud, and civil conspiracies.  
 Spearheaded rollout of Investment Management Businesses Compliance Program.

Senior Litigation Attorney, December 2006 - February 2013

Patton Boggs LLP, New York, NY
Engaged in trade secrets litigation with focus on technology industry as well as complex antitrust, Chapter 7,11, and
13 Bankruptcy, capital markets, commercial, employment, Foreign Corrupt Practices Act, real estate, securitization, structured
finance, securities fraud, intellectual property, and LIBOR litigation. Areas of practice included product liability, copyright, patent,
trademark, and IP enforcement. Updated legal policies and practices to mitigate risk. Directed corporate governance while ensuring
compliance with New York and New Jersey laws.

 Defended Royal Bank of Scotland (RBS) and Goldman Sachs in bank fraud, bank secrecy act, cyber crime, Foreign Corrupt
Practice Act, wire fraud, international money laundering, securities fraud, and LIBOR matters. 
 Prevailed against U.S. and U.K. regulators while defending RBS against manipulated benchmark interest rates allegations.
 Advocated on behalf of City of New York in Securities and Exchange Commission investigation.
 Defended City of New York and 150+ contractors in suit arising from response at World Trade Center after 9/11 attacks.
 Acted as Second Chair in all trial litigations relating to mass torts, product liability and securities fraud in U.S. District Court.
District of Columbia, Southern and Eastern New York, and Supreme Court of New York.
 Counseled institutional asset management clients in ensuring policies and practices relating to hedge and private equity funds
complied with local, national and internal insider legislation including trade law, Regulation FD, and Sarbanes Oxley.

Additional professional experience includes success as an asset management attorney, registered investment advisor,
permanent litigation attorney, trial attorney, compliance advisory, and permanent corporate securities attorney.
Education
Juris Doctor and Master of Laws (magna cum laude) 
Vermont Law School, South Royalton, VT
Bachelor of Arts in Humanities (Economics and Computer Science),
Columbia University, New York, NY
Bar Admissions
City of New York, County of New York
States of New York, New Jersey, Colorado, Texas and the District of Columbia
Supreme Court of United States
United States Court of Appeals for the Federal Circuit
United States District Court for the District of Columbia
United States District Courts for the Eastern and Southern Districts of New York
United States District Court Western District of Texas – Austin Division
United States District Court Northern District of Texas – Dallas Division
United States District Court for the District of Colorado
United States Court of Appeals for the Second Circuit
United States Court of Appeals for the Tenth Circuit

Certifications
Certified Fraud Examiner (CFE) | Certified Anti-Money Laundering Specialist (CAMS)
Series 65 Securities License, NASAA | Registered Investment Advisor, New York
Registered Commodities Trading Advisor (CTA) | CMT Subject Matter Expert

Professional Affiliations
Federal Bar Association | American Bar Association
NY State Academy of Trial Lawyers | Association of Corporate Counsel
Financial Industry Regulatory Authority (FINRA) Member  | National Futures Association Member (NFA)
CMT Association | Society of Security Analysts | Association of Professional Technical Analysts | Association of Certified
Fraud Examiners | Association of Anti-Money Laundering Specialists

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