People: John R. Schleppenbach, Counsel

Photo of John R. Schleppenbach, Counsel

John R. Schleppenbach

Counsel

Chicago
Direct: (312) 460-5362
Fax: (312) 460-7064
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Jay Schleppenbach is counsel in the Litigation Department of Seyfarth Shaw LLP’s Chicago office. He is a member of the White Collar, Internal Investigations, and False Claims Team.

Mr. Schleppenbach has worked on a wide variety of internal investigations, including matters involving complex accounting issues, alleged violations of the U.S. securities laws, and the Foreign Corrupt Practices Act. He has represented clients in responding to inquiries from a broad range of state and federal agencies, including the Securities & Exchange Commission, the Department of Justice Antitrust Division, the Illinois Inspector General, and numerous United States Attorneys’ Offices nationwide. He has been successful in obtaining declinations of charges and favorable plea agreements for both major corporate clients and individuals.

Mr. Schleppenbach also has full range of litigation experience, having handled every phase of discovery and several trials for nationally-known companies as an associate and then a partner at another national law firm. Most recently, Mr. Schleppenbach worked at the Illinois Attorney General’s Office, where he briefed and argued dozens of criminal appeals, including six before the Illinois Supreme Court.

In addition, Mr. Schleppenbach has extensive experience with alternative dispute resolution. He is currently a member (and former Chair) of the Illinois State Bar Association’s ADR Section Council and coaches the International Arbitration Moot Court Team at Northwestern Pritzker School of Law. Mr. Schleppenbach has published dozens of articles about arbitration issues, as well as topics relevant to white collar criminal and securities law practitioners.

Jay Schleppenbach is counsel in the Litigation Department of Seyfarth Shaw LLP’s Chicago office. He is a member of the White Collar, Internal Investigations, and False Claims Team.

Mr. Schleppenbach has worked on a wide variety of internal investigations, including matters involving complex accounting issues, alleged violations of the U.S. securities laws, and the Foreign Corrupt Practices Act. He has represented clients in responding to inquiries from a broad range of state and federal agencies, including the Securities & Exchange Commission, the Department of Justice Antitrust Division, the Illinois Inspector General, and numerous United States Attorneys’ Offices nationwide. He has been successful in obtaining declinations of charges and favorable plea agreements for both major corporate clients and individuals.

Mr. Schleppenbach also has full range of litigation experience, having handled every phase of discovery and several trials for nationally-known companies as an associate and then a partner at another national law firm. Most recently, Mr. Schleppenbach worked at the Illinois Attorney General’s Office, where he briefed and argued dozens of criminal appeals, including six before the Illinois Supreme Court.

In addition, Mr. Schleppenbach has extensive experience with alternative dispute resolution. He is currently a member (and former Chair) of the Illinois State Bar Association’s ADR Section Council and coaches the International Arbitration Moot Court Team at Northwestern Pritzker School of Law. Mr. Schleppenbach has published dozens of articles about arbitration issues, as well as topics relevant to white collar criminal and securities law practitioners.

Education

  • J.D., University of Illinois, summa cum laude, Order of the Coif (2003)
    Administrative Editor, The Elder Law Journal
    National Moot Court Team
    Rickert Awards for Excellence in Legal Publications, Academics, and Oral Advocacy 
    CALI Awards for Highest Grades in Criminal Procedure, Professional Responsibility, Advanced Civil Procedure, International Intellectual Property, Privacy & Defamation, Copyright, and Literature & the Law
  • B.S., Millikin University, in Music & B.A., in English, summa cum laude (2000)
    Illinois Lincoln Academy Lincoln Laureate for Scholarship and Leadership
    Scovill Prize for Scholarship, Leadership, and Service
    Outstanding Community Outreach Student
    Phi Kappa Phi Honor Society

Admissions

  • Illinois

Courts

  • Seventh Circuit Court of Appeals
  • Northern District of Illinois
  • Central District of Illinois

Affiliations

  • Illinois State Bar Association (Chair, Alternative Dispute Resolution Section Council)
  • Chicago Bar Association (Executive Committee, Annual Show)
  • American Bar Association

Presentations

Publications

  • Co-Author, “FCPA Steps Up to the Plate and Investigates Major League Baseball,” Employment Law Lookout Blog (October 11, 2018)
  • Co-Author, “Attorneys Traveling with Privileged Materials Take Note: 11th Circuit OKs Border Searches of Devices Without Reasonable Suspicion,” Bloomberg Law White Collar Crime Report, 13 WCR 552 (June 2018)
  • “Eleventh Circuit Rejects Waiver Claim and Allows Motion to Compel Arbitration After Nearly Ten Years of Litigation,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (June 2018)
  • “Chair’s Column: Arbitration Conversation,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (May 2018)
  • Co-Author, "Smoke Signals Out of Washington Suggest Increased Enforcement of the Foreign Agents Registration Act," One Minute Memo, Seyfarth Shaw LLP (April 10, 2018)
  • Co-Author, “Department of Justice & Congress Signal Possibility of Increased Foreign Agents Registration Act Enforcement in 2018 and Beyond,” Bloomberg Law White Collar Crime Report, (March 30, 2018)
  • Co-Author, “More Guidance Please:  United States Customs & Border Protection Issues New 2018 Directive Providing Greater Protection for Attorney-Client Privileged Materials During U.S. Border Crossings,” Bloomberg Law White Collar Crime Report, 13 WCR 221 (March 2018)
  • Co-Author, "New 2018 Customs Directive Provides Greater Protection for Attorney-Client Privileged Materials During U.S. Border Crossings," One Minute Memo, Seyfarth Shaw LLP (March 19, 2018)
  • Criminal Appeals: Mechanics & Strategy (March 2018)
  • “Chair’s Column: The Future of ADR,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (February 2018)
  • Co-Author, "Hunting Season Begins: DOJ Warns of Criminal Actions Against Companies with Agreements Not to Poach Competitors’ Employees," Bloomberg Law White Collar Crime Report, 13 WCR 133 (February 2018)
  • Co-Author, “To Be or Not to Be: Supreme Court Grants Certiorari To Decide Whether Crime Victims Are Entitled to Internal Investigative Costs Under Federal Mandatory Restitution Statute,” Bloomberg Law White Collar Crime Report, 13 WCR 57 (January 2018)
  • Co-Author, "Supreme Court to Decide Whether Crime Victims Are Entitled to Mandatory Reimbursement of Internal Investigations Costs," One Minute Memo, Seyfarth Shaw LLP (January 25, 2018)
  • Co-Author, "New Year and New Legal Considerations: A Careful Review of Corporate Document Retention Policies Should be a Part of Your New Year’s Resolutions," Management Alert, Seyfarth Shaw LLP (January 8, 2018)
  • “Winning the Battle but Losing the War: Towards a More Consistent Approach to Prevailing Party Fee Shifting in the Contractual Context,” 12 Florida A&M University Law Review 185 (2017)
  • Co-Author, “The Law Says You ‘Know’ What You Keep: Clinging on to ‘Ancient’ Corporate Records Can Give Rise to Corporate Criminal Liability,” Bloomberg Law White Collar Crime Report, 12 WCR 1061 (December 2017)
  • Co-Author, “DOJ Inserts Certainty Into the FCPA Prosecutorial Process By Issuing a Revised FCPA Corporate Enforcement Policy,” Bloomberg Law White Collar Crime Report, 12 WCR 999 (December 2017)
  • “Chair’s Column: Newsletter News,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (December 2017)
  • Co-Author, "Much-Needed Certainty and Transparency Created by DOJ’s New FCPA Corporate Enforcement Policy," One Minute Memo, Seyfarth Shaw LLP (December 15, 2017)
  • Co-Author, “Don’t Just Wing It: First-of-Its-Kind Ethics Opinion Gives Critical Guidance for All Attorneys Crossing Border with Client Information,” Bloomberg Law White Collar Crime Report, 12 WCR 953 (November 2017)
  • “Chair’s Column: Celebrate Mediation!” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (November 2017)
  • Co-Author, "Recent Ethics Opinion Provides Key Guidance for All Attorneys Crossing the Border with Client Information," One Minute Memo, Seyfarth Shaw LLP (November 28, 2017)
  • “A Welcome from the Incoming Chair,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (June 2017)
  • Co-Author, "Supreme Court Limits SEC Disgorgement Orders With Five-Year Statute of Limitations," One Minute Memo, Seyfarth Shaw LLP (June 7, 2017)
  • “State Employees’ Statements During Internal Investigations May Be Admissible in Criminal Proceedings, Even Though Compelled Under Threat of Job Loss, If Self-Incrimination Rights Later Waived,” The Public Servant (May 2017)
  • Co-Author, “The New Face of White Collar Enforcement:  President Trump Signs Executive Orders Directing the Department of Justice to Make Trade and Customs Fraud Enforcement a ‘High Priority,’” Bloomberg Law White Collar Crime Report (May 12, 2017)
  • Co-Author, “President Trump Signs Executive Orders on Trade and Designates Trade and Customs Law Violations as Law Enforcement ‘High Priority,’” Finance Digest (April 2017)
  • "Supreme Court to Consider Legality of Arbitration Agreements Containing Class Action Waivers Under NLRA," In The Alternative: The Newsletter of the ISBA's Section on Alternative Dispute Resolution (April 2017)
  • Co-Author, “President Trump Signs Executive Orders on Trade and Designates Trade and Customs Law Violations as Law Enforcement ‘High Priority,’” One Minute Memo, Seyfarth Shaw LLP (April 2017)
  • Co-Author, “Adding Meat to the Bone: The Department of Justice Issues New ‘Meatier’ Guidance on Corporate Compliance Programs,” Bloomberg Law White Collar Crime Report (March 31, 2017)
  • "Tenth Circuit Declines to Compel Arbitration Due to Conflicts in Arbitration Agreements," The Alternative: The Newsletter of the ISBA's Section on Alternative Dispute Resolution (January 2017)
  • “Fourth Circuit Declines to Enforce Arbitration Agreement Purporting to Waive Application of Federal Law,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (October 2016)
  • “How Substantial is Substantial? Conflicts of Interest and Government Attorneys,” The Public Servant (June 2016)
  • “Second Circuit Denies Sovereign Immunity to Instrumentality of Foreign State that Caused Securities Fraud Losses in the U.S.,” Business & Securities Law Forum (May 2016)
  • “Tenth Circuit Holds Failure to Pay Arbitration Fees Can Result in Resumption of Court Proceedings,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (November 2015)
  • “Third Circuit Weighs in on Extraterritorial Application of U.S. Securities Laws,” Business & Securities Law Forum (June 2015)
  • “Eighth Circuit Denies Non-Signatories Standing to Challenge Arbitration Agreement,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (June 2015)
  • “Third Circuit Weighs in on Extraterritorial Application of U.S. Securities Laws,” The Counselor: The Newsletter of the ISBA’s Section on Business Advice & Financial Planning (May 2015)
  • “Seventh Circuit Dismisses Appeal Seeking to Dictate Issues to Arbitrator for Lack of Jurisdiction,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (February 2015)
  • “Something Old, Something New: Recent Developments in the Enforceability of Agreements to Arbitrate Disputes Between Nursing Homes and Their Residents,” The Elder Law Journal (2014)
  • “Second Circuit Clarifies Bar on Extraterritorial Application of U.S. Securities Laws,” Business & Securities Law Forum (October 2014)
  • “Illinois Appellate Court Holds Arbitration Agreement Unconscionable,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (July 2014) 
  • “Eighth Circuit Applies Negligence Standard to SEC Enforcement Claims for Solicitation of False Proxies, Falsification of Records, and Deception of Auditors,” Business & Securities Law Forum (February 2014)
  • “First District Finds Waiver of Right to Force Individual Arbitration of Class Action Claims,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (October 2013)
  • “A New Defense to Malpractice Claims for Securities Litigators,” Business & Securities Law Forum (June 2013)
  • “Illinois Supreme Court Revisits Enforceability of Nursing Home Arbitration Agreements,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (May 2013)
  • “Fifth Circuit Holds Personal Jurisdiction Needed to Confirm Foreign Arbitration Award,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (February 2013)
  • “In Issue of First Impression, First District Addresses Impact of Arbitration Award Exceeding Illinois’ Monetary Limits on Court-Ordered Arbitration,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (November 2012)
  • “Ninth Circuit Concludes Issue of Whether FAA’s Section One Exceptions Apply Is Nonarbitrable, But…,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (April 2012)
  • Co-Author, “United States of America,” Commercial Litigation: Jurisdictional Comparisons” The European Lawyer Reference Series (November 2011)
  • “Ninth Circuit Concludes Declaratory Judgment Act Does Not Give Federal Courts Discretion to Decline to Rule on Motions to Compel Arbitration,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (October 2011)
  • Co-Author, “Courts Split on Contractual Waiver of Judicial Review of Arbitration Awards,” Westlaw Journal – Asbestos  (March 18, 2011) 
  • “Second Circuit Affirms Denial of Petition to Compel Arbitration Based on Counsel’s Conflict of Interest,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (March 2011)
  • Co-Author, “Delaware Disparity on Disclosing Merger Projections,” Securities Law 360 (February 4, 2011) 
  • Co-Author, "Client Advisory: SEC Enters into First Non-Prosecution Agreement," (December 2010)
  • “Ninth Circuit Removes Potential Barrier to Federal Jurisdiction Over Motions to  Compel Arbitration,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (June 2010)
  • “Eighth Circuit Weighs in on Circuit Split over Proper Venue for Appeal from Denial of Motion to Compel Arbitration in Patent Case,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (February 2010)
  • “Strange Bedfellows: Why Older Straight Couples Should Advocate for the Passage of the Illinois Civil Union Act,” The Elder Law Journal (2009)
  • Co-Author, “Due Process in International Arbitration: Anything Goes? A U.S. Perspective,” 22 Revista de Arbitragem e Mediação (2009)
  • Co-Author, "Client Advisory: New Law Bars Government Contractors from Mandating Arbitration of Certain Employment Claims" (December 2009) 
  • “Fourth District Holds Non-Signatory Insurer Has Standing to Compel Arbitration,” In The Alternative: The Newsletter of the ISBA’s Section on Alternative Dispute Resolution (May 2009)
  • Co-Author, “Enforcement of Foreign Arbitral Awards and Court Judgments in the United States” (2009) 
  • Co-Author, “Looking Back at 2007: Another Good Year for the Enforcement of International Arbitral Awards,” Dispute Resolution Journal (May-July 2008)
  • “Living Longer, But For What? Medicare’s Neglect of Cognitive Treatments,” The Elder Law Journal (2003)