Described by The New York Times as the person “often sought out in…thorny situations” by corporations, Bart M. Schwartz has wide experience providing advice and support to corporations, governments and individuals.

Mr. Schwartz served under U.S. Attorney Rudolph Giuliani as the Chief of the Criminal Division in the Southern District of New York. In that post, he had responsibility for overseeing prosecutions related to financial and business fraud, organized crime, narcotics, and other types of criminal activity.

Mr. Schwartz has served as a trial lawyer, corporate advisor and CEO of a private company and a unit of a public company. For more than 30 years, he has managed complex investigations, prosecutions and security assessments, and provided

sophisticated investigative services to a wide array of clients. Mr. Schwartz is currently the chairman of Guidepost Solutions and serves on the board of HMS Holdings Corp. (NASDAQ:HMSY) where he is Chairman of the Compliance Committee and a member of its Audit Committee. He is also Chairman of the
Board of Managers of Kadmon Corporation, LLC and is on the Board of Directors of the Stuyvesant High School Alumni Association.

SELECT PROFESSIONAL EXPERIENCE

  • In April 2016, retained by the Governor of the State of New York to conduct a review of all grants and approvals in certain programs and operations in the Buffalo Billion/Nano Economic Development Program for improper lobbying and undisclosed conflicts of interest and to make recommendations for improvements in its operations;
  • Appointed independent monitor by the U.S. Department of Justice to oversee General Motors’ compliance with its deferred prosecution agreement from its recall of defective ignition switches;
  • In April 2014, approved as a compliance consultant by the U.S. Attorney’s Office to evaluate and report on the insider trading compliance procedures of Point72 Asset Management (formerly SAC Capital Advisors);
  • Served as the independent compliance expert to a special committee of the Board of SAIC, arising out of the “CityTime” investigation conducted by the U.S. Attorney’s Office for the Southern District of New York and the New York City
    Department of Investigation;
  • Appointed monitor in December 2010 by the U.S. Attorney for the Southern District of New York in its Non Prosecution Agreement with Deutsche Bank AG in a matter involving the bank’s participation and implementation of fraudulent tax shelters;
  • Appointed receiver of the Madoff-related Merkin hedge funds, which includes making investment decisions, managing litigation and investor relations;
  • Selected by the CFTC and the Fraud Section of the Department of Justice to monitor BP trading activities, arising out of BP’s settlement of illegal trading activities investigated by DOJ and CFTC;
  • Retained by the United Arab Emirates to oversee compliance with MOUs between the UAE and Bangladesh, Pakistan, Mauritania and Sudan relating to the repatriation and compensation of children who were involved in camel racing in the UAE;
  • Retained by Hewlett-Packard to conduct a worldwide review of their investigative practices and procedures;
  • Engaged by a publicly traded utilities company to review the corporation’s compliance program and advise on best practices;
  • Appointed monitor of DHL, an international logistics company, by the U.S. Department of Commerce for issues relating to OFAC violations;
  • Served as monitor of Milberg Weiss LLP law firm under auspices of the Los Angeles U.S. Attorney’s Office;
  • Elected, by investors, to the Board of Directors of the Bear Stearns High-Grade Structured Credit Strategies Enhanced Leverage (Overseas) Ltd. to conduct an independent investigation; now serving as Co-Counsel to the Receiver;
  • Conducted independent investigation at Texaco into allegations of racial discrimination and destruction of documents in civil discovery;
  • Appointed by Mayor Giuliani to chair a task force to conduct a top-to-bottom management review of the New York City Department of Buildings;
  • Selected by the New York Metropolitan Transit Authority (MTA) to conduct a transparency assurance audit for the procurement of $5 billion of new subway cars;
  • Retained by the MTA in 2003 to build a compliance and ethics department and to study MTA procurement procedures;
  • Served as a monitor of a hedge fund;
  • Appointed with the approval of the U.S. SEC to review Smith Barney’s compliance with the settlement in the Independent Research case;
  • Served as general counsel of the Fortress Monitoring Group, which was selected by the Port Authority of New York and New Jersey as the integrity monitor for the construction of the Freedom Tower at Ground Zero; and
  • Guidepost Solutions is the integrity monitor for the Port Authority of New York and New Jersey on the multi-year, multibillion dollar construction of the Vehicle Security Center at the World Trade Center complex in New York.

Mr. Schwartz has had numerous court and other appointments to monitor the conduct of corporations in the concrete, construction, waste management and other industries. He has received assignments from or with the approval of the U.S.
Securities and Exchange Commission (SEC), and the U.S. Department of Justice, the U.S Attorney’s Office for the Southern District of New York, the Manhattan District Attorney’s office, the New York Organized Crime Task Force, the New York School Construction Authority, and the New York Department of Environmental Conservation. He has conducted asset searches for the Bankruptcy Court, Trustees and Board Special Committees, including most recently in the Adelphia case.

Mr. Schwartz was a partner in a New York law firm specializing in federal civil and white-collar litigation. He also served as a Deputy Special Prosecutor in the investigation of a Presidential Cabinet Officer.

In 1991 Mr. Schwartz founded and was CEO of Decision Strategies, an internationally recognized investigative and security firm, which was sold to SPX (NYSE:SPW) in 2001. He continued as CEO until 2003, when he resigned to start his new
venture. He has conducted many domestic and international investigations, including internal investigations and inquiries relating to human resources matters, compliance issues, the Foreign Corrupt Practices Act, fraud, asset searching and due diligence.

Mr. Schwartz co-authored a chapter on investigations for West Publications in the treatise Business and Commercial Litigation in Federal Courts. Mr. Schwartz frequently speaks at law and other conferences. He has served as an expert witness.

SPEAKING ENGAGEMENTS

  • Global Flashpoints Roundtable, January 2017
  • Defending Corporations and Individuals in Government, “Ethics and Whistleblower Issues in Investigations,” September 2016
  • “Got Ethics? Effective Ways to Strengthen Your Compliance and Ethics Program in 2016,” Webinar, August 2016
  • Corporate Counsel Congress & Global Counsel Awards 2016, “Anti-corruption: Running Investigations and Handling the Regulators,” June 2016
  • Conference on Corporate and Individual Liability for Corporate Misconduct After the Yates Memo, “Proper Use of and Potential Liability of Independent Consultants and Monitors,” April 2016
  • James Madison College-Michigan State University School of Law Public Lecture, “Ethics and Corporations: Keeping Corporations Honest,” March 2016
  • General Contractors Association, Panelist discussing the Manhattan District Attorney’s Construction Fraud Task Force, Private Event, January 2016
  • GC Futures Summit 2015, “Investigations – Combining Analytics Technology and Lawyers to Stay Ahead of the Game,” Panelist, November 2015
  • Panel Discussion: Manhattan District Attorney's Construction Fraud Task Force, Private Event, September 2015
  • American Bar Association Business Law Section Annual Meeting, “The Independent Monitor – Ally or Adversary?” September 2015
  • New York City Bar Association 4th Annual White Collar Crime Institute, “Monitorships: Missteps, Mistakes and Minefields,” May 2015
  • University of Cergy-Pontoise School of Law Joint Colloquium on Monitoring Corporate Compliance Programs, Monitoring Corporate Compliance Programs, May 2015
  • Council on Corporate Compliance & Ethics and Global Council on Business Conduct, “Monitors & the Monitored: A Fulsome Discussion About Monitorships,” May 2015
  • Northeast Corporate Counsel Forum 2015, “Internal Corporate Investigations and Best Practices,” April 2015
  • Council on Corporate Compliance & Ethics and The Conference Board, Global Counsel on Business Conduct, “The Monitor and the Monitored,” January 2015
  • Construction Super Conference "A Guy With a Badge Wants to Talk To You!" December 2014
  • Knowledge@Wharton Business Radio, Corporate Monitoring Strategies, November 2014
  • Consulegis Autumn Conference, Keynote Speaker, October 2014
  • VoiceAmerica Business, Fraud Talk: Meet Corporate Fraud Fighter Bart Schwartz, September 2014
  • Northeast Corporate Counsel Forum, “Internal Investigations”, Panelist, June 2014
  • SCCE 2014 European Compliance & Ethics Institute, “Corporate Monitors: Trends in Usage in Europe”, Panelist, May 2014
  • European Symposium on Ethics and Governance, “Comply or Explain”, Roundtable, March 2014
  • Detroit Midwest Regional Anti-Corruption Seminar, “Investigations & Compliance,” Panelist, January 2014
  • Georgia ICLE Health Care Fraud Institute, “Don’t Spiral Out of Control: How to Effectively Address Problems through Internal Investigations”, Panelist, December 2013
  • The ALM Litigation Summit & Exposition, “Ethics, The Business of Litigation and Best Practices”, Panelist, November 2013
  • Practising Law Institute Advanced Compliance and Ethics Workshop, "Enhancing Helpline and Reporting Procedures and Conducting Investigations”, Panelist, October 2013
  • SCCE 2013 Compliance and Ethics Institute, “How Corporate Monitors Assess Compliance Programs", Panelist, October 2013
  • The Conference Board, “Ask Your Corporate Monitor,” Webinar, April 2013
  • Dow Jones Global Compliance Symposium, “The FCPA Charge: The Do’s and Don’ts,” Moderator, April 2013
  • SCCE Utilities & Energy Compliance and Ethics Conference, Panelist, “Managing a Compliance Crisis: Be Prepared,” February 2013
  • Association of Corporate Counsel Annual Meeting, “Working with a Corporate Monitor: When Your Compliance Program Isn’t Enough,” Panelist, October 2012

CONTACT INFORMATION
415 Madison Avenue
New York, NY 10017
212.817.6733
bschwartz@guidepostsolutions.com

EDUCATION
▪ Juris Doctor, New York University
School of Law
▪ Bachelor’s Degree, University of
Pittsburgh

AFFILIATIONS
▪ International Bar Association
▪ American Bar Association,
Criminal Justice Section New
York Regional Litigation Support
Committee, Co-Chairman &
Global Anti-Corruption
Committee
▪ New York State Bar Association
▪ Southern District of New York,
Assistant U.S. Attorney
▪ New York City Bar Association
▪ Federal Bar Council
▪ National Association of Criminal
Defense Lawyers
▪ Society of Corporate Compliance
and Ethics
▪ Practising Law Institute
▪ New York Hedge Fund
Roundtable
▪ HMS Holdings Corp.
(NASDAQ:HMSY), Director,
Compliance Committee
Chairman, Audit Committee
Member

▪ Kadmon Corporation, LLC,
Chairman, Board of Directors
▪ Stuyvesant High School Alumni
Association, Board of Directors

AREAS OF EXPERTISE
▪ Complex Investigations
▪ Compliance
▪ Integrity Monitoring
▪ White Collar Crime
▪ Fraud
▪ Asset Searches
▪ Anti-Money Laundering
▪ Security Consulting
▪ Due Diligence
▪ Foreign Corrupt Practices Act
▪ Organized Crime

BART M. SCHWARTZ

Chairman