He specializes in corporate integrity inquiries related to third-party risk management, financial fraud, and anti-bribery/corruption, anti-money laundering, and sanctions compliance. As a forensic investigator and business intelligence specialist, he has led numerous high-profile investigations, compliance reviews, and accounting restatement matters around the world in response to US and overseas regulatory enforcement actions, including those related to securities fraud, the Foreign Corrupt Practices Act, and anti-money laundering, anti-trust, anti-dumping, and sanctions violations. He has led notable engagements within the life sciences, financial services, consumer product, and technology sectors. He is a fluent Mandarin speaker and a widely recognized subject matter expert on topics related to fraud, corruption, and operational risk management in China.
John
Auerbach
Managing Director & Global Practice Coordinator for Financial Investigations & Forensic Accounting
Americas | New York office
John Auerbach has over 20 years of experience managing complex domestic and international corporate investigations and litigation, compliance, and M&A advisory projects.
Prior to joining Nardello & Co., John was a partner in a Big Four accounting firm where he managed the forensic practice in Greater China for ten years, then returned to the firm’s US forensic practice in New York. Before that, he led the mainland China practice of a corporate investigations and risk consulting firm.
Representative matters
- Helped lead Nardello & Co.’s assignment as primary investigator in the FTX bankruptcy, overseeing complex investigative projects that have identified billions of dollars of assets for recovery. He utilized on-chain analysis, forensic data analytics, eDiscovery, forensic financial analysis, open-source research, witness interviews, and other investigative techniques in dozens of countries around the world to develop evidence supporting claims for recovery of assets.
- Retained by a wide range of multinational companies to perform international anti-bribery and corruption, or ABC, investigations and compliance risk assessments in high-risk markets on nearly every continent. His matters frequently combine data analytics, transaction reviews, and ABC risk modeling, with interviews and business intelligence work. When applicable — commonly on assignments for clients subject to deferred prosecution agreements or cease and desist orders — he works with counsel to report findings to and prepare remediation recommendations for the Department of Justice, Securities and Exchange Commission (“SEC”), and other regulators.
- Led third-party risk management process and technology reviews for a variety of companies in the medical device, pharmaceuticals, technology, and consumer products sectors. He has identified gaps and inefficiencies in the third-party onboarding process and helped implement technology-based solutions for third-party process management and problem tracking. He has overseen multiple high-volume global vendor and channel partner diligence programs for multinational clients.
- Led numerous investigations for the audit committees of SEC- and Hong Kong Stock Exchange-registered Chinese companies accused of large-scale financial reporting fraud. John’s teams have determined the actual financial performance of subject companies through forensic accounting, data analytics, interviews, and open-source research. Working with external counsel, he has reported results to the applicable securities regulators.
Languages spoken
- English (Fluent)
- Chinese Mandarin (Fluent)
Education
- MA, International Affairs, The Fletcher School at Tufts University
- BA, Asian Studies, Bowdoin College
Publications
- Chapter: Compliance Challenges for Crypto's Second Act with Christopher Urben and Howard Master (Global Legal Group's 'International Comparative Legal Guide - Anti Money Laundering', 2024)
- Chapter: New Front Lines in AML Investigations with Christopher Urben and Howard Master (Global Legal Group's 'International Comparative Legal Guide - Anti Money Laundering', 2022)
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