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Appellate Advocacy 2014


Speaker(s): Alexandra A.E. Shapiro, Cate Stetson, Deepak Gupta, Hon. Raymond J. Lohier, Jr., Kevin C. Newsom, Lauren R. Goldman, Mark D. Harris, Richard B. Rosenthal
Recorded on: May. 8, 2014
PLI Program #: 49392

Alexandra Shapiro is a partner and co-founder of Shapiro Arato LLP, a New York litigation boutique.

Alexandra is an experienced trial lawyer and appellate advocate. She has tried many cases and argued numerous appeals in federal and state appellate courts, including Salman v. United States, a major insider trading case in the Supreme Court of the United States. 

Alexandra has won a series of appellate reversals of criminal convictions in significant white collar prosecutions.  Most recently, she procured a new trial for Dean Skelos, the former New York State Senate Majority Leader.  Her victories include appellate judgments of acquittal in three cases (two overturned convictions for insider trading and one reversed a tax shelter fraud conviction), as well as several decisions granting new trials for clients who had been convicted of tax crimes, securities fraud, accounting fraud, public corruption, and obstruction of justice.

Alexandra is currently representing several clients in Second Circuit appeals from insider-trading convictions, including businessman William Walters, former investment banker Sean Stewart, and former SAC portfolio manager Mathew Martoma.

Alexandra has also conducted internal investigations on behalf of corporations, corporate boards, and Audit Committees. She has assisted clients in developing and implementing regulatory compliance programs.  She served as President of the New York Council of Defense Lawyers, a not-for-profit professional association of about 250 experienced lawyers whose principal area of practice is the defense of criminal cases in the federal courts in New York.

Prior to co-founding her firm in 2009, Alexandra was a partner of Latham & Watkins LLP, and before that, an Assistant U.S. Attorney in the Southern District of New York, where she also served as Deputy Chief Appellate Attorney.  She clerked for Justice Ruth Bader Ginsburg of the Supreme Court of the U.S. and for Judge Stephen F. Williams of the U.S. Court of Appeals for the D.C. Circuit, and served as an attorney-adviser in the Office of Legal Counsel of the U.S. Department of Justice.

Alexandra received her J.D. from Columbia University School of Law; she graduated first in her class and was an articles editor of the Columbia Law Review. She received her B.A. from Williams College, graduating magna cum laude and with Honors in History.


Deepak Gupta is the founding principal of Gupta Wessler PLLC. He specializes in Supreme Court, appellate, and complex litigation on a wide range of issues, including constitutional law, class actions, and consumers’ and workers’ rights. He has also taught public interest law and appellate advocacy at Georgetown and American universities.

Deepak has briefed and argued a wide range of statutory and constitutional cases before the U.S. Supreme Court, several state supreme courts, and federal appellate courts nationwide. He argued before the U.S. Supreme Court in AT&T Mobility v. Concepcion (2011), a landmark case at the intersection of arbitration, preemption, and class actions. He was lead counsel in Expressions Hair Design v. Schneiderman (2017), arguing on behalf of a group of small merchants in a constitutional challenge to swipe-fees laws brought in the wake of the $7 billion Visa swipe-fee antitrust settlement. More recently, Deepak was appointed by the Supreme Court to brief and argue in support of a judgment left undefended by the Solicitor General in Smith v. Berryhill. He also serves as counsel for the plaintiffs in two cases challenging President Trump's violations of the Constitution's Emoluments Clauses, CREW v. Trump and District of Columbia v. Trump.

Before founding his firm in 2012, Deepak served as Senior Litigation Counsel and Senior Counsel for Enforcement Strategy at the CFPB. As the first appellate litigator hired under Elizabeth Warren’s leadership, he was instrumental in launching the Bureau’s amicus program, defending its regulations, and working with the Solicitor General’s office on Supreme Court matters. For seven years previously, he was an attorney at Public Citizen Litigation Group, where he founded and directed the Consumer Justice Project and was the Alan Morrison Supreme Court Project Fellow. He received his law degree from Georgetown, studied Sanskrit at Oxford, and received his undergraduate degree in philosophy from Fordham.

Deepak serves on the boards of directors for the Alliance for Justice, The Impact Fund, the Biden Institute, the Institute for Consumer Antitrust Studies, the Legal Affairs Committee of the American Association for Justice, and the Class Action Preservation Committee of Public Justice.


Judge Lohier is a judge on the United States Court of Appeals for the Second Circuit. He was nominated by President Barack Obama in March 2010 and unanimously confirmed by the United States Senate in December 2010.

For the decade prior to his appointment, Judge Lohier was an Assistant United States Attorney in the Southern District of New York, where he served as Senior Counsel to the United States Attorney, Deputy Chief and Chief of the Securities and Commodities Fraud Task Force, and Deputy Chief and Chief of the Narcotics Unit. As the Deputy Chief and Chief of the Securities and Commodities Fraud Task Force, Judge Lohier was responsible for overseeing the Bernard Madoff prosecutions, the investigation and prosecution of Marc Dreier, the Galleon, SAC Capital, and other hedge fund-related insider trading cases, as well as several other high-profile fraud cases. Prior to his service as an Assistant United States Attorney, from 1997 to 2000, Judge Lohier served as a Senior Trial Attorney with the Civil Rights Division of the United States Department of Justice, where he spearheaded employment discrimination-related investigations and litigation and worked on other civil rights matters of importance to the federal government.

Judge Lohier graduated from Harvard College in 1988. He then earned his J.D. in 1991 from New York University School of Law, where he received a Vanderbilt Medal. From 1991 to 1992 and from 1993 to 1997, Judge Lohier was associated with the law firm of Cleary, Gottlieb, Steen & Hamilton in New York. In 1992 and 1993 Judge Lohier served as a law clerk for the Honorable Robert P. Patterson, Jr. of the United States District Court for the Southern District of New York.

Prior to his appointment, Judge Lohier was a member of the Board of Directors of the New York University School of Law Alumni Association and of the Black, Latino, Asian Pacific American Law Alumni Association. He also served as First Vice Chairperson of Brooklyn Community Board 6. Judge Lohier is currently a member of the American Law Institute, the Federal Bar Council Inn of Court, and the New York University School of Law Board of Trustees, as well as an adjunct professor of law at New York University School of Law. He is a recipient of the New York University Alumni Association's Eugene J. Keogh Award for Distinguished Public Service.


Lauren Goldman serves as co-head of Mayer Brown's worldwide Litigation & Dispute Resolution practice and is a member of the Firm's Partnership Board. She practices in the Supreme Court & Appellate group in the firm’s New York office. Lauren has briefed and argued numerous appeals addressing issues of importance to the business community in state and federal courts around the country.

Lauren’s practice is not limited to the appellate courts: she has extensive experience litigating complex legal issues at all levels. In the past five years, she has served as lead legal strategy counsel in connection with more than a dozen high-stakes jury trials, including two cases in which the plaintiffs unsuccessfully sought more than $1 billion in damages. Lauren works closely with trial teams to obtain legal rulings that maximize their ability to obtain a defense verdict, as well as handling all aspects of appellate preservation before, during, and after trial. Lauren has a particular focus on mass actions, and has worked with trial teams to develop legal arguments and strategy in several recent and pending class actions in state and federal courts.

According to Legal 500, clients say that Lauren is "super client-focused, extremely responsive, an excellent writer, and a poised and prepared oral advocate." They describe her as “smart, hardworking, and very analytical,” with an “unmatched ability to work well with other lawyers.” Lauren has been interviewed about Supreme Court developments on CNBC’s “Closing Bell” and FoxBusiness’s “Happy Hour,” as well as by the WSJ Law Blog, The American Lawyer, Newsweek, and the National Law Journal, and has been quoted in the Wall Street Journal, Forbes, Fortune, and CNNMoney, among other publications.

Lauren is particularly experienced in briefing and arguing punitive damages issues; she has worked on many successful appeals from large punitive awards, including Philip Morris USA v. Williams, 127 S. Ct. 1057 (2007). Lauren has also handled legal issues at retrials limited to the amount of punitive and/or compensatory damages in Oregon, California, and Florida; in each case, the retrial jury awarded a fraction of the original jury’s verdict. Lauren writes and speaks regularly on the subject of punitive damages law and is a co-author of the chapter on punitive damages in the West treatise Business and Commercial Litigation in Federal Courts.

Lauren also writes and speaks often about appellate practice more generally, and is a co-author of Mayer Brown’s Federal Appellate Practice treatise, published by BNA Books in December 2008 and again in December 2013.

Lauren received her JD magna cum laude from New York University School of Law, where she was Order of the Coif and a member of the Law Review. In addition, she won the law school’s moot court competition. Following graduation, she served as a law clerk to Judge Dennis Jacobs of the United States Court of Appeals for the Second Circuit.


Mark Harris is a partner at Proskauer Rose LLP and co-head of its Appellate Practice Group, which was recently named to the National Law Journal’s 2020 Appellate Hot List. He is also a member of Proskauer’s White-Collar Defense & Investigations and Securities Litigation Groups, concentrating his practice in the areas of white-collar criminal defense and related litigation, and representing both institutional and individual clients in government investigations and prosecutions.

Mark is a former clerk to U.S. Supreme Court Justices John Paul Stevens and Lewis Powell, Jr., and to Judge Joel Flaum of the U.S. Court of Appeals for the Seventh Circuit. Mark served as an Assistant U.S. Attorney for the Southern District of New York, prosecuting a broad spectrum of federal crimes, including health-care fraud, financial fraud, and corporate embezzlement, and trying a number of jury trials and arguing appeals before the Second Circuit.

He is the editor of PLI’s new treatise Principles of Appellate Advocacy: A Guide to Modern Practice (forthcoming 2021), a comprehensive guide to appellate law and strategy.

Mark has handled dozens of cases in the U.S. Supreme Court and other appellate courts in areas spanning criminal law, bankruptcy, copyright, labor relations, employment law, and administrative law. In some of his major cases, he has successfully represented the Financial Oversight and Management Board of Puerto Rico before the First Circuit in more than two dozen appeals arising out of Puerto Rico’s bankruptcy; he successfully represented Nextel Communications before the Second Circuit, which vacated the certification of a class of hundreds of former employees who had brought fiduciary and other claims against the company; he represented Biosig Instruments before the U.S. Supreme Court and the Federal Circuit, for which the American Lawyer named him its Litigator of the Week; and he argued a major Establishment Clause case in the Second Circuit.

Since 1996, Mark has been a member of the Board of Editors of the Federal Sentencing Reporter and a frequent contributor. He has lectured on both criminal law and appellate practice before the International Bar Association, the National Association of Criminal Defense Lawyers, PLI, and the ABA Sections of Litigation, Criminal Law, and Employment and Labor Law, and has been interviewed by Bloomberg Radio, the National Law Journal, WINS AM-1010, Law360, Legal Times, and other news organizations. He also serves on the Board of Trustees of the National Museum of Mathematics.


One of five firm lawyers to have clerked at the U.S. Supreme Court, Kevin Newsom is chair of the firm’s appellate group. Before joining the firm, Kevin served as Alabama's Solicitor General. Kevin has argued four cases in the U.S. Supreme Court and at least 35 more in the U.S. Courts of Appeals for the Second, Third, Fourth, Fifth, Sixth, Seventh, Tenth, Eleventh, and D.C. Circuits, as well as in state supreme and appellate courts. Kevin also regularly briefs and argues critical motions in trial courts and the JPML.

Pursuant to the appointment of Chief Justice John Roberts, Kevin serves on the 10-person Advisory Committee on Appellate Rules, which considers amendments and improvements to the Federal Rules of Appellate Procedure.

Kevin is an elected Fellow of the American Academy of Appellate Lawyers, holds a "Tier 1" ranking for appellate law in Chambers USA, and is listed in The Best Lawyers in America in the field of appellate law. In 2007, The American Lawyer magazine named Kevin one of its "Fab Fifty"—the top 50 litigators in the country under the age of 45—and in 2010, Law360.com named Kevin one of the nation’s top 10 appellate lawyers under the age of 40.

Kevin served as a law clerk to Justice David Souter of the U.S. Supreme Court and to Judge Diarmuid O'Scannlain of the U.S. Court of Appeals for the Ninth Circuit. Kevin received a B.A. from Samford University, summa cum laude, and his J.D. from Harvard Law School, magna cum laude, where he served on the Harvard Law Review.


Richard B. Rosenthal is a solo appellate lawyer who handles appeals across the country, often on behalf of plaintiffs, from his offices in Miami and San Francisco.  He is a former law clerk to the Honorable Levin H. Campbell of the U.S. Court of Appeals for the First Circuit, and to the Honorable Edward B. Davis, Chief Judge of the U.S. District Court for the Southern District of Florida.

Mr. Rosenthal has served as a personal attorney to Barack Obama and as Statewide Lead Counsel to the Obama for America presidential campaign in Florida.  His clients have also included two United States Senators; a sitting Chief U.S. District Judge; a retired Appellate Justice from California; Secretary of Defense Medal of Freedom recipients; a Hall of Fame baseball star; a major political party in Florida; the nation’s largest independent record label; a police labor union; various nonprofit organizations, trade, and professional associations; and individuals of every background and station.

Mr. Rosenthal has been listed by the National Law Journal as a “Trailblazer” among American plaintiffs’ lawyers.  He has also achieved the rare distinction of having been named simultaneously to “Super Lawyer” and “Best Lawyer” lists in two states: Florida and California.  He is a frequent speaker at continuing legal education events, has served as an adjunct professor of law, and has delivered guest lectures at various law schools including Yale, Columbia, Stanford, Michigan, as well as international lectures on the topic of American Democracy and American Values at law schools in Siberia, Kyrgyzstan, and Ukraine.  He can be reached at rbr@rosenthalappeals.com


Cate Stetson is the co-Director of Hogan Lovells’ nationally acclaimed Appellate practice group and a twice-elected member of the firm’s Global Board. Cate has argued one hundred appeals, including multiple times in the U.S. Supreme Court, in all of the federal courts of appeals, and in state appellate courts ranging from New York to California. She has been described to the press as “tough and smart” and “one of the most gifted litigators and orators I have ever encountered,” and commended for her "brilliance of mind and ability to grasp complicated technical matters."