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Steven S. Sparling

Partner

Phone: 212.715.7736 Fax: 212.715.8000 New York

Steven Sparling’s practice focuses primarily on white collar criminal and regulatory defense.

Mr. Sparling represents individuals and corporations in many sensitive and high-profile matters, and has extensive experience with all phases of criminal and regulatory investigations and proceedings at both the state and federal level. He has handled major matters involving a broad range of white collar crime issues, including allegations of securities and accounting fraud, Foreign Corrupt Practices Act violations, insider trading, running a Ponzi scheme, money laundering, stock options backdating, obstruction of justice and tax offenses.

Mr. Sparling also has extensive experience conducting corporate internal investigations for Fortune 100 companies, and has represented both officers and directors in connection with such investigations. Mr. Sparling's representations in corporate internal investigations have also included working with auditors and disclosure counsel, as well as outside regulators and government agencies.

Mr. Sparling also has experience representing individuals, companies, and funds in connection with complex securities and commercial civil litigation, and corporate control matters. He has litigated matters in both state and federal courts, including derivative actions, securities class actions, ERISA cases, and contract disputes. Mr. Sparling also has represented corporations, individuals and partnerships in commercial arbitration disputes.  

In addition, Mr. Sparling has represented professional boxers, promoters and others in the boxing profession. He has won high-profile boxing arbitrations and court proceedings for world champion boxers, promoters, managers and advisors in matters concerning exclusive promotional contractual rights and tortious interference with contract claims.

Mr. Sparling is an Adjunct Professor at Benjamin N. Cardozo School of Law, teaching a seminar on corporate internal investigations, and teaches continuing legal education courses on a variety of issues related to white collar criminal and regulatory defense practice.

Mr. Sparling has also written and co-authored publications on the Dodd-Frank Act's implications on internal investigations, developments in securities class action litigation, the attorney work-product doctrine, the attorney-client privilege, and issues concerning the Federal Rules of Civil Procedure.

Representative Matters

  • Represented individual who was cleared of any wrongdoing in connection with our investigation by the Securities and Exchange Commission concerning high-speed internet trading.
  • Represented an international investigative firm in a state court civil action securing more than $20 million in damages based on allegations of fraud, gross negligence and breach of contract, and successfully moved to dismiss all claims.
  • Represented several funds and individual trustees in putative securities class actions in a multi-district litigation, alleging violations of the Securities Act of 1933.
  • Represented individual trustees of funds in connection with an investigation by the Securities and Exchange Commission concerning accounting and related disclosure issues.
  • Represented joint venture company in a multi-million dollar partnership dispute before an American Arbitration Association arbitrator.
  • Represented the head of a multi-billion dollar investment fund, who was cleared of all charges in an indictment in the Southern District of New York that alleged he conspired to bribe the President of Azerbaijan in connection with the privatization of the state-owned oil company in violation of the Foreign Corrupt Practices Act.
  • Represented a Fortune 100 insurance company in a variety of regulatory and law enforcement proceedings, including investigations by the Justice Department and Securities and Exchange Commission.
  • Represented individual director in connection with Department of Justice investigation, corporate internal investigation, and civil litigation concerning stock options backdating allegations. Successfully persuaded the Department of Justice not to bring any charges against the client.
  • Conducted internal investigation on behalf of a public internet company concerning potential double billing fraud. Responded to a related Department of Justice grand jury subpoena on behalf of the client, and represented the company in its cooperative efforts with the Department of Justice's investigation.

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J.D., summa cum laude, Benjamin N. Cardozo School of Law, 1998
  • Executive Editor, Cardozo Law Review
  • Order of the Coif
  • Felix Frankfurter Award
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B.A., cum laude, University of Massachusetts - Amherst, 1993
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New York, 1999
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Connecticut, 1998
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U.S. Supreme Court
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U.S. Court of Appeals, First Circuit
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U.S. Court of Appeals, Second Circuit
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U.S. Court of Appeals, Third Circuit
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U.S. District Court, Southern District of New York
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U.S. District Court, Eastern District of New York
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U.S. District Court, District of Colorado
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Honorable Maryanne Trump Barry,  U.S. Court of Appeals, Third Circuit, 2001 - 2002
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Honorable Robert N. Chatigny,  U.S. District Court, District of Connecticut, 1999 - 2000
    -Federal Bar Council
    -The Sports Lawyers Association

    Teaching

    -Adjunct Law Professor, Benjamin N. Cardozo School of Law