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Doreen Klein
D: (914) 298-3013  
dklein@harrisbeach.com

Doreen Klein

  Senior Counsel

(914) 298-3013  |
  dklein@harrisbeach.com
“My focus is on listening to my clients to help them navigate with integrity the complexities of civil, criminal, and regulatory matters.”
  • Doreen Klein Contributes Chapter to The Guide to Monitorships Publication
Profile
Representative Matters
Professional and Civic
Areas of Experience
Admissions
Education
Location

Doreen Klein is an experienced litigator who has represented corporate clients in state and federal investigations involving allegations of securities fraud, tax fraud and environmental crimes, as well as alleged bribery and kickback schemes. She has conducted internal investigations in cases involving embezzlement, violations of internal processes and SEC disclosures. Doreen’s experience involves matters in state and federal court as well as international investigations, including as a member of the monitor’s team appointed by the New York State Department of Financial Services to review the compliance function of an international bank.

Prior to joining private practice, Doreen spent 15 years as a New York County Assistant District Attorney, where she investigated and prosecuted cases involving fraud in the sale of securities, fraudulent private placement, embezzlement and insurance kickbacks.

RECENT PUBLICATIONS + SPEAKING ENGAGEMENTS

  • Co-author, “Privilege and Confidentiality,” in Global Investigations Review: The Guide to Monitorships (A.S. Barkow, N.M. Barofsky, T.J. Perrelli (eds.) 2019
  • Co-author, “Fokker and Its Aftermath: The Irony and the Legacy,” Business Crimes Bulletin, Dec. 2015
  • Co-author, “Witness Immunity: You Can’t Always Get What You Want,” Business Crimes Bulletin, Nov. 2011
  • Co-author, “Grand Jury Subpoenas That Reach Around the World,” ABA Section of Litigation, Oct. 2011
  • Co-Author, “The Dodd-Frank Whistleblower Program: Mutiny Over the Bounty,” ABA Criminal Litigation Newsletter, Winter 2011
  • Co-author, “The Courts: Active Players in White-Collar Cases,” Business Crimes Bulletin, Nov. 2010
  • Co-author, “SEC v. Bank of America: Back to the Drawing Board,” ABA Criminal Litigation Newsletter, Winter 2010
  • Co-author, “New Use of Wiretaps in Insider Trading Cases,” Business Crimes Bulletin, Jan. 2010
  • Co-author, “United States v. Textron: Can You Secure Work Product Protection Despite Third Party Disclosure?” ABA Criminal Litigation Newsletter, Summer 2009
  • Co-author, “Selective Waiver: Can a Corporation Have its Cake and Eat it Too?” ABA Section of Litigation, Summer 2008
  • Co-author, “The Unindicted Co-Conspirator: Vilification Without Vindication,” Business Crimes Bulletin, May 2008
  • Co-author, “The Government’s Thumb Has Been Lifted From the Scales of Justice,” ABA Committee on Criminal Litigation, Winter 2008
  • Represented trustees, hedge funds, and institutional investors in federal and state court actions alleging fraud, breach of contract, and misrepresentations involving residential mortgage-backed securities.
  • Represented the relator and numerous governmental entities in actions alleging federal and state False Claims Act violations, including an action brought against the largest manufacturer of PVC pressure pipe in the United States and an action against a for-profit educational institution.
  • Represented the inventors of an RSV drug in a licensing dispute with a subsidiary of a multinational pharmaceutical company.
  • Represented a dairy manufacturing company against allegations of violations of state environmental statutes.
  • Represented an international reinsurance company against allegations of financial fraud.
  • Has conducted internal investigations at companies in the financial services and manufacturing sectors.
  • Was a member of the monitor’s team appointed by the New York State Department of Financial Services to conduct a global analysis of the compliance function of an international bank.

Legal Practices

Business and Commercial Litigation
Government Compliance and Investigations

Connecticut

New York

U.S. Court of Appeals, Second Circuit

U.S. District Court, Connecticut

U.S. District Court, New York - Eastern District

U.S. District Court, New York - Southern District

Yale University

BA
1979
summa cum laude

Columbia University School of Law

JD
1982
White Plains, NY Office
All Insights, All Publications, Authored Article |
 May 11, 2022
Doreen Klein Contributes Chapter to The Guide to Monitorships Publication
Harris Beach attorney Doreen Klein contributed a chapter – “Privilege and Confidentiality” – to the third edition of The Guide to Monitorshi...read more
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(866) 999-0659

Doreen Klein

dklein@harrisbeach.com
D: (914) 298-3013
White Plains, NY Office
Doreen Klein
https://www.harrisbeach.com/people/klein-doreen/

■ Areas of Expertise

Business and Commercial Litigation Legal Practice
Government Compliance and Investigations Legal Practice

■ Profile

Doreen Klein is an experienced litigator who has represented corporate clients in state and federal investigations involving allegations of securities fraud, tax fraud and environmental crimes, as well as alleged bribery and kickback schemes. She has conducted internal investigations in cases involving embezzlement, violations of internal processes and SEC disclosures. Doreen’s experience involves matters in state and federal court as well as international investigations, including as a member of the monitor’s team appointed by the New York State Department of Financial Services to review the compliance function of an international bank.

Prior to joining private practice, Doreen spent 15 years as a New York County Assistant District Attorney, where she investigated and prosecuted cases involving fraud in the sale of securities, fraudulent private placement, embezzlement and insurance kickbacks.

RECENT PUBLICATIONS + SPEAKING ENGAGEMENTS

  • Co-author, “Privilege and Confidentiality,” in Global Investigations Review: The Guide to Monitorships (A.S. Barkow, N.M. Barofsky, T.J. Perrelli (eds.) 2019
  • Co-author, “Fokker and Its Aftermath: The Irony and the Legacy,” Business Crimes Bulletin, Dec. 2015
  • Co-author, “Witness Immunity: You Can’t Always Get What You Want,” Business Crimes Bulletin, Nov. 2011
  • Co-author, “Grand Jury Subpoenas That Reach Around the World,” ABA Section of Litigation, Oct. 2011
  • Co-Author, “The Dodd-Frank Whistleblower Program: Mutiny Over the Bounty,” ABA Criminal Litigation Newsletter, Winter 2011
  • Co-author, “The Courts: Active Players in White-Collar Cases,” Business Crimes Bulletin, Nov. 2010
  • Co-author, “SEC v. Bank of America: Back to the Drawing Board,” ABA Criminal Litigation Newsletter, Winter 2010
  • Co-author, “New Use of Wiretaps in Insider Trading Cases,” Business Crimes Bulletin, Jan. 2010
  • Co-author, “United States v. Textron: Can You Secure Work Product Protection Despite Third Party Disclosure?” ABA Criminal Litigation Newsletter, Summer 2009
  • Co-author, “Selective Waiver: Can a Corporation Have its Cake and Eat it Too?” ABA Section of Litigation, Summer 2008
  • Co-author, “The Unindicted Co-Conspirator: Vilification Without Vindication,” Business Crimes Bulletin, May 2008
  • Co-author, “The Government’s Thumb Has Been Lifted From the Scales of Justice,” ABA Committee on Criminal Litigation, Winter 2008

■ Representative Matters

  • Represented trustees, hedge funds, and institutional investors in federal and state court actions alleging fraud, breach of contract, and misrepresentations involving residential mortgage-backed securities.
  • Represented the relator and numerous governmental entities in actions alleging federal and state False Claims Act violations, including an action brought against the largest manufacturer of PVC pressure pipe in the United States and an action against a for-profit educational institution.
  • Represented the inventors of an RSV drug in a licensing dispute with a subsidiary of a multinational pharmaceutical company.
  • Represented a dairy manufacturing company against allegations of violations of state environmental statutes.
  • Represented an international reinsurance company against allegations of financial fraud.
  • Has conducted internal investigations at companies in the financial services and manufacturing sectors.
  • Was a member of the monitor’s team appointed by the New York State Department of Financial Services to conduct a global analysis of the compliance function of an international bank.

■ Education

Yale University
 ,BA
 ,1979
 ,summa cum laude
Columbia University School of Law
 ,JD
 ,1982

Harris Beach and its subsidiaries provide a full range of legal and professional services for clients across New York state, as well as nationally and internationally. Harris Beach is among the country’s top law firms as ranked by The National Law Journal and is among the BTI Elite law firms based on in-depth interviews of more than 600 corporate counsel at the world’s largest and most influential companies. Our clients include Fortune 100 corporations, privately-held companies, emerging businesses, public sector entities, not-for-profit organizations and individuals. Principal industries we represent include education, energy, financial, food and beverage, health care, insurance, manufacturing, medical and life sciences, real estate developers, and state and local governments and authorities.

Industry Teams
Automotive and Vehicle Dealerships
Cannabis
Construction and Surety
Educational Institutions Higher Ed
Educational Institutions K-12
EMS and Fire Protection Providers
Energy
Financial Institutions and Capital Markets
Food and Beverage
Health Care
Industrial and Consumer Manufacturing
Medical and Life Sciences
Municipalities and Local Agencies
Nanotechnology
Photonics
Racing and Gaming
Real Estate Developers
Science and Technology
Telecommunications and Media
Unmanned Aircraft Systems
USA Collegiate Sports
Veterinary Medicine

Practices
Alternative Dispute Resolution
Appellate
Business and Commercial Litigation
Collection Law
Commercial Real Estate
Corporate
Cybersecurity Protection and Response
Diversity Compliance
E-Discovery (e-infoSM)
Employee Benefits
Employment Litigation
Environmental Law
Financial Restructuring, Bankruptcy and Creditors’ Rights
Government Compliance and Investigations
Health Law
Immigration Law
Insurance Coverage
Intellectual Property Law
International Trade Law
Internet Law
Labor and Employment Law
Mass Torts and Industry-Wide Litigation
New Markets Tax Credit
Patent, Trademark and Copyright Law
Product Liability and Comprehensive General Liability
Public Finance and Economic Development
Real Property Valuation Litigation
Residential Real Estate
Sports Law
Tax Law
White Collar Crime
Wills, Trusts and Estates

Consulting Services
HB Solutions LLC
Collegiate Sports Compliance
Data Privacy and Cybersecurity
Economic Development and Public Affairs
Educational Institution Assistance
EMRG® (E-Discovery Management Resources Group)
Energy
Health and Human Services
Human Resources
Information Technology
Marketing and Communication Services
Municipal and Local Agency Assistance

HB Cornerstone LLC
Owner Representation
Design Services
Facilities Consulting
Move Management

Caetra.io
CyMetric (Cybersecurity Regulation Compliance Software)

Offices throughout New York:

Albany
677 Broadway
Albany, NY 12207
518-427-9700

Buffalo
726 Exchange Street
Buffalo, NY 14210
716-200-5050

Ithaca
119 East Seneca Street
Ithaca, NY 14850
607-273-6444

Long Island
333 Earle Ovington Boulevard
Uniondale, NY 11553
516-880-8484

New York City
100 Wall Street
New York, NY 10005
212-687-0100

Rochester
99 Garnsey Road
Pittsford, NY 14534
585-419-8800

Saratoga Springs
513 Broadway
Saratoga Springs, NY 12866
518-587-0551

Syracuse
333 West Washington Street
Syracuse, NY 13202
315-423-7100

White Plains
445 Hamilton Avenue
White Plains, NY 10601
914-683-1200

Offices also in:

New Haven, CT
195 Church Street
New Haven, CT 06510
203-784-3159

Newark, NJ
One Gateway Center
Newark, NJ 07102
973-848-1244

Attorney Advertising. Prior results do not guarantee a similar outcome.
© 2022 Harris Beach PLLC

Content current as of May 18, 2022 2:11 am
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