Education
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California Western School of Law, J.D., 1982
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John Jay College of Criminal Justice, B.A., 1979
Bar Admissions
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District of Columbia
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New York
Court Admissions
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U.S. Court of Appeals for the District of Columbia Circuit
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U.S. District Court for the District of Columbia
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U.S. District Courts for the Eastern and Southern Districts of New York
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U.S. District Court for the District of Maryland
Awards and Honors
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Assistant Attorney General Award for Special Initiative, 1996
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Department of Justice Meritorious Award for Superior Performance; 1995, 1999
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Department of Justice Special Achievement Award for Sustain Superior Performance; 1994, 1998
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Ted Planzos assists clients with white-collar matters involving criminal and civil securities enforcement, complex financial fraud, grand jury and congressional inquiries, parallel proceedings, criminal and civil RICO, corporate compliance, trial practice, and complex civil litigation. He also counsels corporations and individuals in compliance matters, including Sarbanes-Oxley, the USA PATRIOT Act, and internal investigations.
As a trial attorney, assistant chief, and deputy chief of the Organized Crime and Racketeering Section with the Department of Justice (DOJ) for nearly a decade, Mr. Planzos supervised, investigated, and prosecuted cases involving RICO, securities, mail and wire fraud, embezzlement, money laundering, extortion, and labor law violations. His efforts earned him the Assistant Attorney General Award for Special Initiative, the criminal division’s highest award.
Mr. Planzos also served as a staff attorney and senior counsel with the Securities and Exchange Commission (SEC) Division of Enforcement, where he investigated and prosecuted cases involving insider trading, market manipulation, and financial fraud. Mr. Planzos also served as a special assistant U.S. attorney for the Southern District of New York, where he was a member of the prosecution team in the Wedtech investigation and public corruption trial of U.S. v. Biaggi, et al. The trial resulted in the conviction of Congressman Mario Biaggi, and four others for RICO, RICO conspiracy, extortion, mail fraud, tax evasion, and perjury.
Before his tenure in the Southern District, Mr. Planzos served as an assistant district attorney for Bronx County, where he conducted bench and jury trials, hearings, and investigations and prosecutions involving fraud, narcotics trafficking, and public corruption. He was also lead prosecutor in an investigation of alleged corruption involving community school board members that resulted in the conviction of board members for fraud, bribery, extortion, and grand larceny.
Additionally, Mr. Planzos served as associate majority counsel to the U.S. House of Representatives “October Surprise” Task Force.
Representative Matters:
Private Practice
- Currently representing a regional financial institution, its board of directors and certain officers and employees in an ongoing federal grand jury money laundering and BSA investigation and related regulatory matters. None of the individuals were criminally charged.
- Currently representing a top four U.S. insurance company in an ongoing federal grand jury public corruption investigation.
- Currently representing a top claims management services corporation in an ongoing federal grand jury public corruption investigation.
- Currently representing an individual seeking a Rule 35 sentence reduction.
- Currently provides counsel to an international union on various matters.
- Currently represents a not-for-profit corporation that provides auditing and accreditation to media ratings services in matters relating to ongoing Congressional inquiries relating to rating services.
- Represented a national corporation and certain officers in a criminal export control Act investigation.
- Assisted in union compliance program for the Laborers International Union of North America.
- Represented a Mexican national in a FCPA investigation.
- Represented the former Chairman of Audit Committee of a Fortune 500 corporation in SEC option backdating investigation that resulted in no action being taken against the client by SEC.
- Represented a Canadian accounting firm in a SEC option backdating investigation of a multinational corporation that resulted in no action being taken against the client by SEC.
- Served as counsel to board of directors of regional financial institution and conducted an internal investigation concerning mortgage valuations.
- Represented an accountant and his firm in a grand jury investigation of U.S. Congressman.
- Served as counsel to the Audit Committee of a publicly-traded insurance company and conducted several investigations on behalf of the Audit Committee.
- Assisted several individuals seeking presidential pardons.
- Represented an individual in SEC v. Concorde America, et al., (SD Fla.), as well as in a parallel grand jury investigation being conducted in the Western District of North Carolina. Negotiated settlement with SEC and plea agreement with U.S. Attorney.
- Represented the President and officers of an Investment Company in parallel grand jury and SEC civil investigation in the Northern District of Ohio.
- Represented an international corporation in a matter relating illegal payments to union officials, including conducting an internal investigation for the client, and self-reporting to the Department of Justice.
- Represented a broker-dealer and its principals and a trader in a NASD inquiry. The result was no action taken by the NASD against the client.
- Represented 12 individuals who participated in a 504 offering in an SEC informal inquiry, with the SEC taking no action taken against any individuals.
- Provided advice and counsel to the CFO of a small, publicly-traded company concerning Sarbanes-Oxley issues.
- Conducted internal investigation for management of major regional financial institution regarding allegations relating to mortgage broker payments and related issues.
- Represented a multinational chemical corporation in an anti-dumping matter.
- Represented an investment advisor to a $1.3 billion investment fund specializing in Russian investments in potential civil RICO action against a multinational energy company and several Russian enterprises. The claim was ultimately settled before filing of the complaint.
- Provided advice and counsel to the Chairman of the Board of a Pacific Northwest financial institution concerning an investigation by the Federal Home Loan Bank Board.
- Represented former WorldCom director and Chairman of the Compensation Committee throughout investigations by the DOJ and SEC, as well as in internal investigations.
- Represented a large, northwest utility company in multiple FERC investigations concerning allegations of energy price manipulation relating to Enron.
- Represented two partners and their law firm in investigations by the Department of Justice and Railroad Retirement Board.
- Counseled the Audit Committee of an international energy company regarding Sarbanes-Oxley compliance issues.
- Represented an international corporation in a U.S. Customs and Border Protection investigation and enforcement proceeding concerning classification and valuation of imported products, and a U.S. Customs and Border Protection investigation concerning NAFTA compliance issues.
- Represented a broker-dealer and its president in an SEC civil enforcement proceeding concerning failure to supervise brokers and engaging in manipulative and deceptive practices.
- Represented two related broker-dealer firms and their officers in an NASD investigation.
- Represented two consultants to an over-the-counter bulletin board (OTCBB) company in an SEC enforcement investigation concerning registration violations, false and misleading statements via electronic methods, and a scheme to defraud.
- Represented a large, multinational corporation in a multi-million dollar arbitration involving breach-of-contract claim.
- Represented a large regional energy company in a multi-million dollar breach-of-contract suit.
- Represented national financial institution in a suit alleging conversion, tortious interference, and breach of contract.
Government Service
- United States v. DeFries, et al., the first successful criminal RICO prosecution of the governing body of a labor organization, which resulted in the conviction of 18 officials of the Marine Engineers Beneficial Association (MEBA), for RICO, RICO conspiracy, embezzlement, extortion, and mail fraud.
- United States v. Hvide Marine and United States v. William Coleman, both were investigations and prosecutions of illegal payments to a union official in violation of the Taft-Hartley Act.
- United States v. Teale, et al., RICO investigation and prosecution of two defendants for operating an international fraudulent network of reinsurance companies and related insurance service companies. Defendants diverted millions in reinsurance premiums through sham contracts concealing the diversion by obtaining falsely inflated securities that were used as collateral for reinsurance contracts.
- United States v. Rennert, et al., investigation of a complex market manipulation scheme between a stock rental firm and numerous off-shore reinsurance companies that had booked manipulated stock on their financial statements resulting in the conviction of seven defendants for conspiracy, securities, and wire fraud.
- United States v. Bessant, et. al., investigation of four individuals concerning the valueless off-shore reinsurance companies used by the defendants in Teale, to assume reinsurance risk in exchange; these individuals received a percentage of the premiums earned knowing that the off-shore companies would not have the financial resources to pay claims. Among the individuals convicted were Dallas Bessant (RICO Conspiracy), Jerry Tidmore (RICO Conspiracy), Robert Campbell (RICO Conspiracy), and Matthew Bonar (wire fraud).
- United States v. Pirollo, et al., investigation and prosecution of 23 defendants for narcotics trafficking, participating in a continuing criminal enterprise and related charges in a large-scale methamphetamine manufacturing and distribution organization.
- Wedtech Corruption Investigation Public corruption investigation of the Wedtech Corporation that resulted in the convictions of more than 30 individuals. Member of the prosecution trial team in the trial of United States v. Biaggi, et al., (S.D.N.Y.). The trial resulted in the conviction of Congressman Mario Biaggi, Bronx Borough President Stanley Simon, SBA Regional Administrator Peter J. Neglia, National Guard General Bernard Erlich, and Richard Biaggi, for RICO, RICO conspiracy, extortion, mail fraud, tax evasion, and perjury.
- SEC v. Bluestone, et al., Civil enforcement action brought against five partners of a Detroit, Michigan law firm for insider trading. The defendants sold shares in Zenith Laboratories, Inc., based on non-public information obtained from one of their law partners who was a member of the Zenith Board of Directors.
- State of New York v. Miguel Diaz, Conducted grand jury corruption investigation of Community School Boards in Bronx County resulting in Mr. Diaz’s conviction for bribery and attempted larceny for demanding payments from individuals seeking promotions. In addition to Mr. Diaz, three other school board members were convicted of larceny, bribery, and defrauding the government.
Professional Affiliations:
American Bar Association
District of Columbia Bar Association
Association of Securities and Exchange Commission Alumni
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