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Bridge-the-Gap: Professional Practice for Newly Admitted Attorneys 2017


Speaker(s): Erin G.H. Sloane, Houman B. Shadab, Jon Westlund, Kelly A. Harris, Kenneth A. Adler, Marc S. Roth
Recorded on: Oct. 6, 2017
PLI Program #: 180593

Erin Sloane's practice focuses on government and internal investigations and white collar criminal matters, with a concentration on Foreign Corrupt Practices Act (FCPA) and international anti-corruption issues. She has successfully represented both institutions and individuals in government investigations and prosecutions involving financial and accounting fraud, insider trading, wire fraud, and FCPA issues.

Ms. Sloane has conducted numerous cross-border corruption investigations in Asia, Eastern Europe, the Middle East and South America, and regularly appears before the US Department of Justice (DOJ) and Securities and Exchange Commission (SEC) in corruption-related investigations. In addition to her work on several publicly disclosed government resolutions, she has successfully achieved multiple non-public DOJ and SEC declinations for clients in FCPA matters. Ms. Sloane also regularly counsels clients on challenging anti-corruption issues in numerous business contexts, including the development and implementation of effective anti-corruption compliance programs and corruption-related considerations in cross-border mergers, joint ventures and acquisitions.

Ms. Sloane has played key roles in numerous investigations by the DOJ and SEC, as well as many corporate internal investigations, and has led global FCPA due diligence reviews in several multi-billion-dollar M&A transactions. She has also been involved in securing a number of nonpublic prosecution declinations by the DOJ and SEC in connection with possible FCPA violations by various multinational clients. A select list of her recent experience includes:

 

·           representing a major foreign technology conglomerate in ongoing SEC and DOJ investigations into allegations of FCPA violations at a US-based avionics subsidiary;

·           representing a major media and communications company in connection with the successful resolution of the US Attorney for the Eastern District of New York's investigation into its Argentine joint venture's role in the FIFA corruption scandal;

·           represented Key Energy Services in a global FCPA investigation relating to allegations of corruption in the company's Mexico operations. Ms. Sloane played a lead role in the recent resolution with U.S. authorities, in which the DOJ declined to prosecute and the client entered into a Cease and Desist order with the SEC with a $5 million disgorgement and no civil penalty.


Houman B. Shadab is a prolific and influential expert at the intersection of law, business, and technology. His research focuses on financial technology, smart contracts, hedge funds, derivatives, commercial transactions, and blockchains. Professor Shadab is also a cofounder of the venture-backed contract tech startup Clause and a director of the open source legal tech initiative, the Accord Project. He often advises companies and financial institutions on issues relating to compliance, litigation, and operations, and serves on the advisory board of several tech startups.

Professor Shadab has testified before the federal government several times, including before the Commodity Futures Trading Commission on Bitcoin derivatives and before Congress on hedge funds at a hearing that included George Soros and other leading figures from the hedge fund industry. He is often invited to speak at high-level swiftacademic and practitioner events, including for The Economist, Stanford’s Future Law conference, Consensus 2015, the SWIFT Business Forum, and the New York State Bar Association annual meeting.

Professor Shadab is the author of numerous academic articles published in journals such as the New York University Journal of Legislation and Public Policy and the Stanford Journal of Law, Business, and Finance. In 2015, he was a recpient of the Otto L. Walter Distinguished Writing Award for his article on asset-based lending. Professor Shadab has also written chapters in books published by Oxford University Press and Wiley Finance.

Governmental authorities worldwide have cited Professor Shadab’s research, including the U.S. Securities and Exchange Commission, the Delaware Court of Chancery, the 11th Circuit Court of Appeals, the U.S. Congressional Oversight Panel, and the European Parliament. He regularly shares his insights on his blog, Lawbitrage.

studentsProfessor Shadab has been quoted in numerous media publications including the New York Times, the Financial Times, and the Wall Street Journal, and has appeared on Bloomberg Television. He is a Fellow at the Washington, D.C.-based Coin Center and is also a member of the New York and California bars. Prior to entering academia, Professor Shadab practiced law with Ropes & Gray in New York City and Latham & Watkins in Los Angeles.


Jon Westlund is Senior Privacy Counsel at Epsilon. In this role, Jon is responsible for developing Epsilon’s global privacy program, implementing GDPR, establishing robust incident management and drafting and negotiating privacy and security-related terms and conditions.  Working with senior management to develop and foster a vision for privacy programs, Jon ensures that Epsilon’s interconnected business practices deliver world-class technology integration and marketing experiences, helping clients’ business grow.

Prior to joining Epsilon, Jon served as Vice-President in the Global Privacy Group of Wyndham Worldwide Corporation where he was responsible for incident management, international data transfers, privacy audits and information management. While there, he successfully led a cross-functional team in the development and implementation of privacy and information security programs ensuring compliance with a Stipulated Order settlement entered into in the landmark cybersecurity case of FTC v. Wyndham.

Prior to joining Wyndham, Jon served as Corporate Counsel & Deputy Privacy Officer at T-Systems North America providing strategic advice and direction as Deutsche Telekom’s North American Privacy Counsel. His background includes serving as an Assistant District Attorney in the Bronx County District Attorney’s Office.

Jon is admitted to the New York State Bar and a Certified Information Privacy Professional / United States – private sector by the International Association of Privacy Professionals. He received his law degree from New York Law School and a B.A. degree from Gustavus Adolphus College.

Jon is a frequent speaker at events sharing his expertise and insights related to various privacy matters. He serves as board member for WhitePlains Planning Board, a non-profit organization, and provides pro bono and community services for children.


Ken A. Adler

Chair, Technology and Outsourcing

With more than 30 years of experience handling complex sourcing and technology transactions, Ken Adler understands the complexities of today’s evolving technology landscape. He serves as a trusted business advisor and legal strategist to clients across all industry sectors, particularly retail and consumer products, financial services, health care and insurance.

Ken represents clients in all facets of complex global and domestic sourcing and technology transactions, including with respect to information technology, emerging technologies and telecommunications, as well as joint ventures, strategic investments and other corporate transactions. Known for his business-centric approach, Ken is often called upon by clients in the early stages of a project to help structure transactions in a way that achieves the clients’ goals while addressing and mitigating any related risks.

He regularly handles complex transactions involving emerging technologies such as cloud computing and automation, as well as transactions relating to outsourcings of core IT and business functions. He has significant experience addressing the creation of, and strategies relating to, multi-sourced environments, as well as renegotiation and termination of existing outsourcing and IT-related agreements.

Ken has earned a reputation for bringing together the right legal partners from across the firm’s various disciplines – including mergers and acquisitions, privacy, tax and payment technologies, among others – to complete large, complex transactions at the intersection of technology, sourcing and innovation.


Marc Roth works with clients to comply with state and federal laws and rules governing privacy, social media, sweepstakes, telemarketing, and advertising. He also counsels clients on transactional matters, and guides them through federal and state government investigations.

Previously chief compliance counsel for a Time Warner company and an FTC staff attorney, Marc draws upon decades of consumer advertising and marketing law experience when counseling clients. He frequently speaks and writes about privacy and telemarketing issues.

Marc drafts and amends online and offline privacy policies, and advises companies on how data may be collected, shared, and used in partner marketing arrangements. He also advises clients on laws governing data use and security. These include the Children’s Online Privacy Protection Act, the Gramm-Leach-Bliley Act, the Fair Credit Reporting Act, the Fair and Accurate Credit Transactions Act, the Video Privacy Protection Act, HIPAA, the CAN-SPAM Act, and the E.U. Data Protection Directive.

In the marketing arena, Marc counsels clients on how to develop and manage telemarketing programs that comply with the Telemarketing Sales Rule, the Telephone Consumer Protection Act, and applicable state laws. He also advises companies on how to develop and manage free trial, negative option, and continuity marketing programs in compliance with all applicable laws, regulations and credit card processing rules.

Additionally, Marc counsels clients preparing to conduct marketing campaigns through online social networks.


Kelly Harris is Vice President, Privacy & Cybersecurity at Prudential Financial in Newark, NJ.  Before joining Prudential, Kelly spent 6 years helping to build the Privacy program at Wyndham Worldwide.  She started her legal career as an associate with Kirkpatrick & Lockhart (now K&L Gates) and then Gibbons, PC before going in-house to Japanese pharmaceutical companies Daiichi Sankyo and Otsuka.