Bradley L. Dizik has advised clients on compliance and ethics programs and has led high-profile integrity monitorships overseeing publicly held and private companies; global compliance reviews; as well as numerous investigations of potential fraud or other misconduct.
Mr. Dizik currently serves as a group leader on the federal monitorship of the New York City Housing Authority. The following are additional examples of his work:
- Member of the Independent Monitoring Leadership Team overseeing General Motors’ compliance with its deferred prosecution agreement deriving from its recall of vehicles with defective ignition switches.
- Member of Independent Compliance Consultant Team appointed to evaluate and report on the insider trading compliance program implemented by SAC Capital Advisors and its successor entity Point72 Asset Management.
- Special Adviser to the Masonic Temple Association of Detroit’s Board of Trustees arising out of its high profile complex crisis of near financial insolvency and parallel litigations in federal bankruptcy and state courts.
- Consulted quantitative trading firm regarding best execution procedures, Market Access Rule 15c3-5 and other compliance monitoring for adherence to best industry practices.
- Advised one of the U.S. military’s largest suppliers of jet fuel to troops in Afghanistan in a Congressional investigation of alleged corruption in Central Asia and follow-on investigations by foreign authorities.
- Counsel to one of the world’s largest financial institutions in a False Claims Act investigation in which the company was alleged to have misled the federal government about aspects of the business operations of a former life insurance subsidiary.
- Advised a nonbank financial institution with an Asia-Pacific based subsidiary in an investigation by U.S. Attorney’s Office, Southern District of New York into potential anti-money laundering compliance issues and conducted an internal investigation.
- Counsel to a private equity firm in a private right of action under the Investment Advisers Act and Investment Company Act for rescission emanating out of the Lehman Brothers’ collapse.
- Represented a Sovereign Wealth Fund before the SEC and the CFTC concerning its regulatory exposure in connection with swaps following enactment of the Dodd-Frank Act.
- Advised one of the world’s largest mineral resource companies on its negotiations with foreign governments and FCPA, AML and FAR compliance.
- Negotiated settlement on the eve of trial for humanitarian asylum for Salvadorian youth as part of pro bono practice.
Prior to joining Guidepost Solutions, Mr. Dizik was an associate attorney in Weil, Gotshal & Manges LLP’s White-Collar Investigations and Financial Institutions Regulatory practices and co-manager of its Financial Regulatory Reform Working Group. Prior to joining Weil, he served as a research consultant to the Committee on Capital Markets Regulation, a 501(c)(3) research organization dedicated to improving the regulation of US capital markets. Mr. Dizik had brief stints in the SEC’s Offices of International Affairs and General Counsel, where he focused on the international enforcement of the federal securities laws, provided technical assistance to foreign regulators and advised on the development of the Commission’s insider trading compliance program. He is a member of the Detroit Jewish Federation’s Business Practices Committee overseeing the Federation’s 16 agencies and is a member of the Jewish Federation of North America’s National Young Leadership Cabinet.
Mr. Dizik is a recipient of Michigan State University’s Distinguished Young Alumni Award from where he holds a J.D. and a B.A. from its James Madison College and where he established the Frank H. Knight Scholarship Award for students whose studies are focused at the intersection of leadership, economics and ethics. He received the Federal Bar Association’s Edward H. Rakow Scholarship Award for academic excellence in corporate and securities law. Additionally, he holds an LL.M. from Georgetown University Law Center which recognized him for “extraordinary academic performance” in International White-Collar Crime.