Dan Brody

Dan A. Brody

Associate

Dan A. Brody

Associate

  • Overview

    Biography

    Dan Brody is a member of the firm’s Litigation Section, including the Business Litigation Group and the Government Enforcement and White-Collar Defense, and Internal Investigations and Corporate Compliance Teams. He focuses his practice on complex business litigation matters, government and internal investigations, corporate compliance, and criminal defense.

    Business Litigation

    Dan routinely helps businesses navigate complex business disputes in state and federal courts. He handles a range of business disputes, including claims of breach of contract, unfair trade practices, theft of trade secrets, claims stemming from employee misconduct, and other business torts. His clients have included small and large companies, educational institutions, non-profit organizations, and religious institutions.

    Government Enforcement and White-Collar Defense

    Dan regularly represents and advises institutional clients in all stages of criminal and civil government enforcement actions and investigations, such as civil investigative demands, grand jury subpoenas, and criminal and civil enforcement actions filed in court. This work has involved federal and state agencies, including:

    • the United States Department of Justice
    • various United States Attorneys' Offices
    • the United States Department of Justice, Office of the Special Counsel (Special Counsel: Robert Mueller)
    • the Federal Bureau of Investigation
    • the Environmental Protection Agency
    • the Department of Housing and Urban Development, Office of the Inspector General
    • state/district attorneys’ offices
    • state attorneys general and other administrative agencies in various states

    His experience has included the representation of nonprofit associations in connection with federal compliance audits, the defense of a company from federal criminal charges in connection with a joint United States Department of Justice and Environmental Protection Agency investigation, the representation of clients in response to civil investigative demands and criminal grand jury subpoenas, and the representation of a client in connection with a federal grand jury subpoena issued by the United States Department of Justice, Office of the Special Counsel.

    Internal Investigations and Corporate Compliance

    Dan conducts internal investigations for entities facing crisis situations as a result of a variety of matters, such as allegations of financial wrongdoing, regulatory non-compliance, or employee misconduct. Recently, he conducted an internal investigation of a medical treatment facility in response to law enforcement inquiries and the commencement of criminal charges against multiple employees of the treatment facility. One aspect of Dan's investigation included identifying areas of the treatment facility’s internal policies and procedures in need of revision and suggesting appropriate revisions. Upon the conclusion of the investigation, Mr. Brody coordinated the criminal defenses of the treatment facility’s employees, which resulted in the dismissal of all criminal charges.

    Pro Bono and Community Involvement

    Dan also maintains a significant pro bono practice. In particular, he participates in the firm’s Domestic Violence Restraining Order program, where he provides free representation to victims of domestic violence who are seeking restraining orders. His pro bono practice also includes assisting veterans with resolving housing disputes and representing indigent defendants in criminal matters.

    Dan is a member of the Board of Directors for the Children’s Law Center in Hartford, Connecticut. He is also an Officer and Board member of the Connecticut Asian Pacific American Bar Association (CAPABA).

    Prior to joining the firm, Dan was a law clerk for Chief Judge William J. Lavery and Judge Thomas A. Bishop at the Connecticut Appellate Court. He also was an intern law clerk for Judge Michael P. Shea at the United States District Court, District of Connecticut. He previously worked for law firms in West Hartford, Connecticut; interned with the Connecticut Division of Criminal Justice, Hartford Judicial District; and served as a law clerk for the Maryland Office of the Public Defender.

    While in law school, Dan interned for the United States Department of Justice, Gang and Organized Crime Division, and for the Office of the Chief State’s Attorney, Appellate Bureau, where he briefed, argued, and won State v. Schuler, 157 Conn. App. 757, 118 A.3d 91 (2015), in the Connecticut Appellate Court. In addition, Dan was a pro bono honoree and the recipient of the Aspen Law and Business Award for Evidence and the Avlin Pudlin Scholarship for First Amendment study. He is also a former college soccer player.

  • Experience
    • Experience

      Experience

      • Appearing on behalf of the State of Connecticut, successfully obtained the affirmance of a defendant’s conviction for sexual assault. State v. Schuler, 157 Conn. App. 757, 118 A.3d 91 (2015).

        • Government Enforcement

      • Assisted with representation of a corporation in connection with a joint U.S. Department of Justice and Environmental Protection Agency investigation. Helped with negotiating a favorable resolution and plea terms for client.

      • Assisted in the representation of a Massachusetts energy company’s response to a civil investigative demand issued by the Massachusetts Attorney General’s Office.

      • Represented accounting firm as a witness in a public corruption grand jury investigation brought by the United States Attorney’s Office for the District of Connecticut.

      • Represented a medical facility in connection with an investigation conducted by the Office of the Inspector General for the U.S. Housing Urban Development. Over the course of the representation, provided context around the areas under investigation, resulting in no adverse consequences to client.

      • Represented an AbilityOne non-profit organization that was the target of a False Claims Act investigation conducted by the United States Department of Justice.

      • Represented corporation in election financing investigation brought by the Connecticut State Election Enforcement Commission (SEEC) arising out of a related investigation of a principal of the corporation.

        • Internal Investigations

      • Conducted an internal investigation of the India-based subsidiary of a United States manufacturing company related to potential Foreign Corrupt Practices Act (FCPA) violations after client’s auditors discovered possible misconduct. The investigation required travel to India to conduct witness interviews and a site visit, and implicated conduct occurring in China, Thailand, and the Philippines. Following the investigation, advised client on the appropriate responses to possible violations, both FCPA- and business-related, including whether a voluntary disclosure was appropriate or beneficial. The case team also revised client’s anti-corruption polices and FCPA training materials.

      • Conducted an internal investigation of a medical treatment facility in response to law enforcement inquiries and the commencement of criminal charges against multiple employees of the treatment facility. One aspect of the investigation included identifying areas of the treatment facility’s internal policies and procedures in need of revision and suggesting appropriate revisions. Upon the conclusion of the investigation, coordinated the criminal defenses of the treatment facility’s employees, which resulted in the dismissal of all criminal charges.

      • Conducted an internal investigation for a national insurance company arising from anonymous tips alleging executive knowledge and cover-up of insurance agent fraudulent scheme. The results of the investigation enabled the client to make crucial business decisions, take appropriate employment action, and improve its compliance protocols.

      • Conducted an expeditious and time-sensitive internal investigation into the laboratory practices of an FDA-regulated nutritional supplement manufacturer arising out of the purchase of unusual laboratory testing ingredients and the suspicion that microbiologists and laboratory employees were not following Standard Operating Procedures (SOPs). Ultimately, through the investigation, was able to determine what laboratory procedure were followed, the reasons for such conduct, and the parties with knowledge of the conduct. 

        • Litigation

      • Assisted in representation of educational institution against claims arising from alleged sexual abuse of a minor by school faculty. Case settled before trial.

      • Appointed by the United States District Court for the District of Connecticut to represent an incarcerated plaintiff in a civil rights claim brought against the State of Connecticut for the denial of prescription medication. Obtained a four-figure settlement in the case.

      • Represented non-profit historical organization in a lawsuit brought in federal court by the owner of property abutting the organization’s museum. Succeeded in obtaining a settlement for the organization that required the abutting property owner to make a financial payment to the organization. Following the settlement, succeeded in enforcing the terms of the settlement agreement, including compelling payment of the financial obligation.

      • Successfully briefed and argued in Connecticut Superior Court a motion to strike allegations that a religious organization had violated Connecticut’s mandatory reporting statute negligently and recklessly. Result was obtained despite adverse Superior Court precedent.

        • back to top
    • Professional Associations

      Professional Associations

      Connecticut Asian Pacific American Bar Association
      Board of Directors; Secretary; Co-chair of Hartford Committee

      National Asian Pacific American Bar Association

      Connecticut Bar Association
    • Community Involvement

      Community Involvement

      Children's Law Center
      Board of Directors
  • NEWS + PRESS
    • Publications

      Publications

      "New DOJ Commentary Promises Leniency for Companies Who 'Do the Right Thing' and Self-Report Violations," published in Connecticut Law Tribune, co-authored with Edward J. Heath (8/15/2018)

    • Presentations

      Presentations

      "When the Government Knocks On Your Door: Best Practices For Corporate Counsel When Responding to Grand Jury Subpoenas," co-presented with Edward J. Heath, as part of the National Asian Pacific American Bar Association's 2018 Northeast Regional Conference (6/9/2018)
      • » more info

        • When the Government Knocks On Your Door: Best Practices For Corporate Counsel When Responding to Grand Jury Subpoenas

        "When the Government Knocks On Your Door: Best Practices For Corporate Counsel When Responding to Grand Jury Subpoenas," co-presented by Edward J. Heath and Dan A. Brody, as part of the National Asian Pacific American Bar Association's 2018 Northeast Regional Conference (6/9/2018)

        The panel focused on the Grand Jury process, including rules surrounding Grand Jury secrecy; differentiating Grand Jury Subpoena compliance from traditional civil discovery, the potential criminal implications involved in the underlying charges, as well as potential pitfalls in compliance; and covered the compliance process, including the initial conversation with the prosecutor, the production of documents, and witness interviews.


    • News

      R+C in the News

      • August 21, 2018

        Dan Brody and Ed Heath Co-author Article on the Foreign Corrupt Practices Act Published in the Connecticut Law Tribune

        • » more info

          Dan Brody and Ed Heath Co-author Article on the Foreign Corrupt Practices Act Published in the Connecticut Law Tribune

          Business Litigation Group lawyers Dan A. Brody and Edward J. Heath co-authored the article “New DOJ Commentary Promises Leniency for Companies Who 'Do the Right Thing’ and Self-Report Violations,” published in the Connecticut Law Tribune on August 15, 2018. The article covers the Foreign Corrupt Practices Act (FCPA), it’s broad reach, investigating suspected FCPA violations, and whether to self-report misconduct to the Department of Justice (DOJ.) Mr. Brody and Mr. Heath also examine the DOJ's new commentary “intended to provide the private sector with further clarity on how the DOJ approaches FCPA cases.” The commentary “reinforces the DOJ's commitment to leniency toward the companies that self-report, and states that the DOJ will apply those same principles to FCPA violations occurring in the context of mergers and acquisitions.” Read the full article.

      • June 12, 2018

        Dan Brody and Ed Heath Present During NAPABA 2018 Northeast Regional Conference

        • » more info

          Dan Brody and Ed Heath Present During NAPABA 2018 Northeast Regional Conference

          Business Litigation Group lawyers Dan A. Brody and Edward J. Heath were among the panelists that presented during a session entitled “When the Government Knocks On Your Door: Best Practices For Corporate Counsel When Responding to Grand Jury Subpoenas “ as part of the National Asian Pacific American Bar Association (NAPABA) 2018 Northeast Regional Conference at Mohegan Sun Convention Center in Uncasville, Connecticut from June 8 to June 10, 2018. This year’s conference was hosted by the Connecticut Asian Pacific American Bar Association (CAPABA) and brings together Asian Pacific American lawyers, judges, law professors, law students, and individuals interested in Asian Pacific American legal issues throughout the Northeast Region and other regions of the United States. The panel focused on the Grand Jury process, including rules surrounding Grand Jury secrecy; differentiating Grand Jury Subpoena compliance from traditional civil discovery, the potential criminal implications involved in the underlying charges, as well as potential pitfalls in compliance; and covered the compliance process, including the initial conversation with the prosecutor, the production of documents, and witness interviews. Mr. Brody currently serves on the CAPABA Board of Directors in the role of secretary.

      • May 10, 2018

        Kelly Barnett and Dan Brody Present Training for Attorneys Looking to Assist Victims of Domestic Violence

        • » more info

          Kelly Barnett and Dan Brody Present Training for Attorneys Looking to Assist Victims of Domestic Violence

          Business Litigation Group lawyers Kelly Frye Barnett and Dan A. Brody were among the presenters that participated in the “Domestic Violence Restraining Order Project Training” program on May 3, 2018 at the CBA Law Center in New Britain, Connecticut. The training was facilitated by the Connecticut Bar Association Young Lawyers Section, Connecticut Coalition Against Domestic Violence, Robinson+Cole, and Statewide Legal Services for attorneys interested in representing victims of domestic abuse applying for civil restraining orders (applications for relief from abuse) under Conn. Gen. Stat. § 42b-15.

      • April 23, 2018

        Kelly Barnett, Dan Brody, and Nuala Droney Help Prepare Victims of Domestic Violence to Testify at Hearings

        • » more info

          Kelly Barnett, Dan Brody, and Nuala Droney Help Prepare Victims of Domestic Violence to Testify at Hearings

          Business Litigation Group lawyers Kelly Frye Barnett and Dan A. Brody developed a presentation on “Preparing Victims of Domestic Violence to Testify at Hearings: Hearings on Applications for Civil Restraining Orders” for the Connecticut Coalition Against Domestic Violence (CCADV). Business Litigation Group lawyer Nuala E. Droney joined Ms. Barnett to co-present the program on April 20, 2018 at CCADV's Wethersfield, Connecticut location. The session was presented as part of Robinson+Cole's Domestic Violence Restraining Order Program (DVRO), which gives victims of domestic violence, who otherwise would not be represented, access to attorney advice and help in navigating the court system. Ms. Barnett and Ms. Droney offered insight on how to prepare victims to give testimony that focuses on the legal elements necessary to meet the standard for a civil restraining order. CCADV is a membership organization of Connecticut’s 18 domestic violence service agencies that provide critical support to victims including counseling, support groups, emergency shelter, court advocacy, safety planning, and lethality assessment, among other services.

      R+C News Releases

      • July 31, 2017

        Dan Brody Elected to Children’s Law Center Board of Directors

        • » more info

          Dan Brody Elected to Children’s Law Center Board of Directors

          The Children’s Law Center has elected Business Litigation Group lawyer Dan A. Brody to its Board of Directors. The mission of The Children’s Law Center is to protect low income children in family court cases and to advocate for systemic changes to the adversarial system and for other policies that advance the well-being of children involved in family transitions. Read more in the press release.

        • View article
      • January 31, 2017

        Robinson+Cole Welcomes Six New Associates