Warning to GCs: Internal Investigations Not Privileged in UK

Ariel A. Neuman is a trial lawyer who handles high-stakes business disputes and white collar criminal matters. A former federal prosecutor, he represents both individual and corporate clients confronting government investigations and other bet-the-company matters that have civil and criminal components. He has led teams of lawyers in numerous jury trials involving complicated issues of fraud and misconduct.

Mr. Neuman is experienced in conducting internal investigations related to accounting issues, potential FCPA violations, and related matters for national and multi-national corporations. He regularly advises clients being investigated or prosecuted for securities fraud, False Claims Act violations, health care fraud, money laundering, tariff violations, tax crimes, and other offenses.  His practice includes representing clients against the DOJ, SEC, FTC, and other state and federal agencies.

Mr. Neuman also enjoys a diverse civil practice as he routinely represents companies, corporate executives and directors, and business owners in their complex civil disputes.  He has had recent success in cases involving unfair business practice and trade secret claims, both in court and arbitration settings.

Before joining Bird Marella in 2014, Mr. Neuman served as an Assistant United States Attorney in Los Angeles for almost seven years. He led numerous high profile investigations and prosecutions of white collar and violent crimes, and was also responsible for the domestic portion of several international investigations. During his tenure at the US Attorneys’ office, Mr. Neuman handled cases involving securities fraud, tax evasion, real estate fraud, health care fraud, art fraud, bank fraud, counterfeit currency, computer crimes, and more. He is among the most experienced federal RICO prosecutors in the country now in private practice, having prosecuted over 200 individuals for violating federal racketeering laws.  Mr. Neuman was named Prosecutor of the Year by the Federal Law Enforcement Officers’ Association, and received numerous commendations and awards for his service.

Mr. Neuman serves as a Visiting Faculty member at the Harvard Law School, where every winter he teaches courtroom presentation and advocacy skills to second and third-year law students, and where he has been a featured presenter on closing arguments and expert witness examinations.

Representative Cases

  • Matters at Bird Marella

    In “bet-the-company” litigation, defeated a preliminary injunction demand that would have shuttered oil-services business and required firing of all employees.

  • Represented one of the largest minority-owned broker/dealers in a FINRA arbitration and successfully defeated a demand for a permanent injunction regarding certain business practices related to muni bonds and fixed income investments.

  • Represented a patent attorney under investigation for violation of the Hobbs Act (extortion involving threats of financial harm). Mr. Neuman set the stage for his client to get immunity from the Department of Justice.

  • Represented an individual under investigation for antitrust, anti-competitive activities in the public works construction area. The investigation was closed without any charges being filed against Mr. Neuman’s client.

  • Represented an immigration attorney charged with securities fraud and other violations by the SEC related to the attorney’s work on behalf of clients seeking EB-5 visas.

  • Represents a corporate executive under investigation by criminal and civil authorities in the United States and the United Kingdom for alleged accounting fraud related to a multi-billion dollar corporate acquisition. The matter is still pending.

  • Represented a financial professional involved in a dispute with his former business partners, who attempted to freeze Mr. Neuman’s client’s out of the partnership and deprive him of his rightful assets and membership interests. The matter was confidentially settled to the satisfaction of Mr. Neuman’s client.

  • Represented two prominent physicians under investigation for alleged Medicare and Medicaid fraud. The United States Attorney’s Office and Department of Health and Human Services – Office of the Inspector General, closed the investigation without filing any charges against Mr. Neuman’s clients.

  • Conducted an internal investigation for the Chinese subsidiary of a US-based technology company. The investigation focused on possible FCPA and tax violations, and was concluded without any finding of wrong-doing.

  • Represents a business owner and related company facing federal charges of money laundering and financial reporting crimes. Mr. Neuman and his colleagues successfully argued for the suppression of evidence illegally seized from one of the client’s business locations. The case is still pending.

  • Represents a corporate executive facing a civil contempt action brought by the Federal Trade Commission. This case is on hold while other litigation continues, but to date Mr. Neuman has successfully prevented the FTC from deposing his client.

  • Represented a number of witness subpoenaed to testify by the California Attorney General before a criminal grand jury in Riverside County. Several of the witnesses were granted immunity as a result of Mr. Neuman and his colleagues’ efforts.

  • Matters at the U.S. Attorney’s Office
    In a three-week jury trial of a defendant charged with crimes related to tax evasion, art theft, and art fraud, Mr. Neuman and a colleague secured convictions on all charges. Mr. Neuman joined the case only weeks before trial, took over opening and closing arguments as well as the examination of numerous key witnesses, and earned accolades for his trial advocacy skills from colleagues and onlookers.

  • Mr. Neuman led the investigation and prosecution of over a dozen defendants involved in a $20 million mortgage and bank fraud scheme involving short sale and lending fraud on over 35 properties around Southern California. Among the defendants was a former bank officer who accepted bribes to manipulate the bank’s short sale process. Mr. Neuman received a special commendation from the Federal Bureau of Investigation for his efforts in this matter.

  • Mr. Neuman and a colleague obtained a conditional guilty plea on the day of trial from a licensed medical doctor who admitted issuing prescriptions for highly addictive narcotic drugs and other medications without a legitimate medical purpose and in exchange for cash. Mr. Neuman successfully defended the conviction before the Ninth Circuit Court of Appeal.

  • After a Santa Barbara-based hotel developer and former bank officer defrauded various banks and credit unions and obtained millions of dollars in loans, Mr. Neuman secured a pre-indictment guilty plea and an order of restitution for the victims.

  • In a matter that garnered world-wide media attention, Mr. Neuman and a colleague secured the extradition to Mexico of a producer of television shows such as “Survivor” and “Pimp My Ride.” In Mexico, the defendant faced charges of murdering his wife at a Cancun resort and then fleeing back to the United States.

  • Mr. Neuman has prosecuted over 200 defendants for violations of federal racketeering (“RICO”) laws. The defendants were members and associates of the Mexican Mafia, as well as several Los Angeles-based gangs. As part of these and related cases, Mr. Neuman won several jury trials where defendants were convicted of RICO charges, murder conspiracy charges, alien smuggling offenses, firearms offenses, and narcotics distribution charges. His efforts were recognized repeatedly in awards and commendations from various organizations.


  • Visiting Faculty, Harvard Law School: Trial Advocacy Workshop
  • Member, American Bar Association: Criminal Justice Section, Health Law Section, Section of Real Property, Trust and Estate Law, Section of Litigation
  • Member, Federal Bar Association: Federal Litigation Section, Criminal Law Section, Health Law Section, Securities Law Section
  • Member, National Association of Criminal Defense Lawyers
  • Board Member, Los Angeles Center for Law and Justice

Ariel Neuman interviewed by KNX-AM

Bird Marella principal Ariel Neuman was recently interviewed by Heather Jordan of KNX-AM on criminal groups that avoid detection and target international trade companies for money laundering. To listen to the segment, please click below:

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Six Bird Marella Attorneys Selected by Super Lawyers as 2017 Rising Stars

Bird Marella attorneys Ariel Neuman, David Chao, Nicole Van Dyk, Kimberly Miller, Doug Fretty, and Timothy Yoo have been selected by Super Lawyers as 2017 Rising Stars. This is the third consecutive year that both Ariel (white-collar litigation) and David (civil litigation) have been selected. For ...

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Lincenberg and Neuman to Speak at ABA 31st Annual National Institute on White Collar Crime

Bird Marella Principals Gary Lincenberg and Ariel Neuman will be featured presenters at the American Bar Association's 31st Annual National Institute on White Collar Crime.  Mr. Neuman will participate as a panelist to discuss the topic, "Significant Legal Developments in the Regions," on Wednesday, March 8th at ...

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Ariel Neuman and Julian Burns Analyze the Recent Dismissal of Criminal Charges Against Backpage.com

Bird Marella attorneys Ariel Neuman and Julian Burns authored the article, “Backpage Dismissal Does Not Solve Websites’ Woes,” published by Law360. The article analyzes the implications of a recent ruling by a California Judge to dismiss all criminal charges against the website based on immunity granted to website operators ...

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Ariel Neuman to Speak at 2016 Federal Bar Association CLE Luncheon

On Thursday, July 28, Bird Marella principal Ariel Neuman will be a featured speaker and co-present on the topic, “Ethical and Effective Use of Advance Wavers in Criminal and Civil Cases,” at the 2016 CLE Luncheon, presented by the Inland Empire Chapter of the Federal Bar Association. For more information, ...

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Five Bird Marella Attorneys Selected by Super Lawyers as 2016 Rising Stars

Bird Marella attorneys Ariel NeumanNicole Van Dyk, Kimberly Miller, David Chao, and Doug Fretty have been selected by Super Lawyers as 2016 Rising Stars. This marks the second consecutive year that both Neuman and Chao have been selected, with Neuman being recognized for his work in white-collar ...

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Ariel Neuman Speaks with Law360 Regarding Supreme Court’s Speedy Trial Ruling

Bird Marella principal Ariel Neuman spoke with Law360 regarding the U.S. Supreme Court’s recent ruling that the Sixth Amendment right to a speedy trial does not extend to the sentencing phase of a criminal proceeding. The decision involves the case, Betterman v. Montana, in which the Supreme Court Justices ...

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Ariel Neuman Speaks with STAT News Regarding Criminal Investigation of Theranos

Bird Marella principal Ariel Neuman recently spoke with STAT News regarding the criminal investigation of blood analysis startup, Theranos. The silicon valley based company is currently being investigated by the SEC and the U.S. Attorney’s Office for the Northern District of California, relating to the company’s inner workings and ...

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Bird Marella Wins Dismissal Of 21 Aggravated Mayhem Charges In High-Profile Health Care Fraud Prosecution

Bird Marella attorneys Benjamin Gluck, Ariel Neuman, and Nicole Van Dyk won dismissal of the 21 most serious charges in a high profile grand jury indictment against two physicians, a chiropractor, and eight employees and associates of a workers compensation healthcare provider. Each of the 21 now-dismissed counts ...

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Ariel Neuman to Speak at Tax Resolution Institute’s 2015 Seminar

Bird Marella principal Ariel Neuman will be a featured speaker at the Tax Resolution Institute’s 2015 Seminar, and will present on the topic “Criminal Tax Cases: Priorities, Practices, and Tactics,” on Friday, July 17. Tax Resolution Institute’s 2015 Seminar, entitled “Tax Resolution Essentials 200A – Intermediate Tax Resolution,” will take ...

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Other News & Events

  • Interviewee re trial strategy, “Defense in San Bernardino County corruption trial rests after half a day,” Daily Journal, July, 2017
  • Interviewee re False Claims Act and qui tam provision, “LA hospital settles fraud claim with $42M payout,” Daily Journal, June, 2017
  • Interviewee, “Can Families Sue Facebook For Violent Videos of Victims?,” International Business Times, April, 2017
  • Interviewee, "Pick the Right Law School for Criminal Law Practice," U.S. News & World Report, March, 2017
  • Panelist, ABA 31st Annual National Institute on White Collar Crime, "Significant Legal Developments in the Regions" (March 8, 2017)
  • Co-Presenter, 2016 Federal Bar Association CLE Luncheon, "Ethical and Effective Use of Advance Wavers in Criminal and Civil Cases" (July 28, 2016)
  • Interviewee, Law360 Feature Story on U.S. Supreme Court’s Opinion on Betterman v. Montana (May 20, 2016)
  • Interviewee, STAT News Feature Story on Criminal Investigation of Theranos (April 19, 2016)
  • Speaker, Tax Resolution Institute 2015 Seminar, “Criminal Tax Cases (Priorities, Practices, And Tactics)” (July 17, 2015)
  • Guest Speaker, KPCC 89.3 Southern California Public Radio Discussion on Prosecutors Seeking Death Penalty in Fatal LAX Shooting (January 5, 2015)
  • Guest Interviewee, The Associated Press Feature Story on FBI Seizure of LAUSD iPad Documents (December 2, 2014)
  • Panelist, California Society for Healthcare Attorneys Fall Seminar, “Hospice, Home Health and Physical Therapy – Government Audits and Investigations” (November 7, 2014)
  • Panelist, 2014 IMN Crowdfunding Forum for Real Estate, “Managing Risks, Including Fraud, Inherent in Crowdfunding” (September 9, 2014)
  • White Collar Legal News Blog

  • Co-Author, “Backpage Dismissal Does Not Solve Websites’ Woes,” Law360, December, 2016 (with Julian Burns)

  • Co-Author, “United States: White-Collar Criminal Defence,” Global Investigations Review, October, 2014 (with Gary Lincenberg)

  • Co-Author, “FedEx Indictment Creates Bad Incentives,” Daily Journal, August 5, 2014 (with Benjamin Gluck)

  • Co-Author, “Custodial Interrogations: What We Know, What We Do, and What We Can Learn From Law Enforcement Experiences,” in Educing Information – Interrogation: Science & Art, National Defense Intelligence College Press, 2006 (with D. Salinas)