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Government Investigations 2018: Investigations Arising From Data Breach and Privacy Concerns and Parallel Proceedings


Speaker(s): Carrie S. Parikh, Christina K. McGlosson-Wilson, Christine M. Ryall, David C. Shonka, Divonne Smoyer, Hon. Lisa Margaret Smith, Jason M. Silverman, Kathleen A. McGee, Manfred J. Gabriel, Patrick Butts, Robin L. Greenwald, Taa R. Grays
Recorded on: Feb. 13, 2018
PLI Program #: 220465

David C. Shonka is a partner at Redgrave LLP in Washington, DC.  With his outstanding record as a trial and appellate litigator and legal strategist, David is considered a thought leader in the broader legal community.  His practice focuses on all things Information Law including privacy, security, eDiscovery, cross border data transfers, government civil law enforcement investigations, and information governance.  Prior to joining Redgrave LLP, David served three terms as the Acting General Counsel at the Federal Trade Commission (FTC) and ten years as the agency’s Principal Deputy General Counsel.  In both roles, he oversaw the Office’s Litigation, Legal Counsel, and Opinions and Analysis Groups, as well as FOIA, Employment Law, and Energy Counsel Staff.  David is currently a member of the Sedona Conference® Working Group on Data Security and Privacy Liability (WG11), serves on the Steering Committee for International Electronic Information Management, Discovery and Disclosure (WG6), and is a former member of the Steering Committee for Electronic Document Retention and Production (WG1).


Kathleen A. McGee is counsel at Lowenstein Sandler, where she is a member of the firm’s Tech Group and White Collar Criminal Defense practice and focuses primarily on regulatory compliance and investigations. 

Kathleen is former Chief of the Bureau of Internet and Technology (BIT) for the New York State Attorney General’s Office, where she directed the enforcement of New York and federal privacy, data security, and consumer protection laws in the online and technology environment. She led groundbreaking investigations into Internet Service Providers in New York state, violations of the Children’s Online Privacy and Protection Act (COPPA), and astroturfing and false endorsements in promotions, as well as a successful litigation against Daily Fantasy Sports. Kathleen’s recent policy work has included developing legislation on data security and the use of software bots in ticket sales.  

Earlier, Kathleen was Director of the Mayor’s Office of Special Enforcement for the City of New York, where she focused on the policy and civil enforcement of quality-of-life issues such as illegal hotels and counterfeit trademark activity. She also developed policy and legislative initiatives for the Criminal Justice Coordinator’s Office. During that time, Kathleen co-developed the New Business Acceleration Team, a multiagency initiative that simplified governmental processes and procedures for new businesses and streamlined new business openings. 

Kathleen served for over six years as a prosecutor of sex crimes, child abuse, and domestic violence for the Bronx County District Attorney’s Office. She was also a co-developer and program coordinator of the Chicago Public Housing Recycling Buy-Back Program, an economic-environmental initiative she launched as an AmeriCorps VISTA in the 1990s. 

Kathleen regularly presents on issues of data security, privacy, consumer protection, and investigations. She is a graduate of Boston University School of Law, the University of Chicago, and Sarah Lawrence College.


Patrick Butts, CED, IGP is Director of Legal Operations and Information Governance for Hilltop Securities in Dallas, Texas. Hilltop Securities is a Texas-based diversified financial services company, servicing clients from offices across the United States in Public Finance, Capital Markets, Wealth Management, Structured Finance, Clearing Services, Corporate Finance and Securities Lending.

In his role with Hilltop Securities, Patrick’s responsibilities are distributed between management of corporate legal related processes and practices; consultation with in-house and outside counsel regarding management of legal initiatives; integration of an Information Governance program, consisting of records management, information classification, risk management, security and privacy; supervising and managing the work flow and activities of the E-discovery team and assisting with discovery for complex litigation, regulatory investigations and other disputes; leading the development of policies and procedures, training requirements and strategic vision for the E-Discovery program and platform and collaboration with technology and business units on information governance.


Taa R. Grays is Vice President & Associate General Counsel of Information Governance – MetLife Legal Affairs. As the lead of Information Governance, Taa is responsible for the strategic management of MetLife’s global Information Lifecycle Management Program. She leads a team that develops, implements and manages the Information Governance strategic plan. The team, partnership with the Lines of Business and Corporate Functions, embed and drive the Program throughout MetLife. She provides strategic leadership for all aspects of the ILM program, including strategic direction, management of corporate ILM policies, processes, procedures, standards, and tools, and deployment of ILM principles throughout the global enterprise. She collaborates with IT, Legal Affairs, Risk Management, Audit, Global Technology and Operations, and all the Lines of Businesses and various other stakeholders to deliver ILM requirements and compliance strategies for ILM to minimize potential risks.

Prior to this role, Taa served as the Chief of Staff to the General Counsel since 2010. She worked closely with the General Counsel and his leadership team to identify, develop, communicate and execute Legal Affairs’ initiatives. She collaborated and coordinated with the Legal Affairs leadership on project planning, management and accountability to ensure the timely completion of Enterprise and Legal Affairs deliverables and to champion various departmental initiatives. She also managed a staff of 140 associates that provides operational support to the Department, including but not limited to: project management, technology portfolio management and training support, communications, records management, finance management and analytical support, knowledge management, office services, and administrative and paralegal support. She also chaired the Legal Affairs’ Diversity Committee and the Technology Governance Committee, and was an Executive Member of The Academy, Legal Affairs’ training committee.

Taa started with MetLife in 2003 in the Litigation Section. As a litigator, her practice consisted of handling various federal and state lawsuits and regulatory complaints stemming from MetLife’s US Business and Investment activities. She also coordinated and oversaw MetLife’s e-discovery responses to regulatory, pre-litigation and litigation matters as the eDiscovery Counsel and led a cross-functional team that managed MetLife’s discovery obligations.

Prior to MetLife, Taa was an Assistant District Attorney with the Bronx District Attorney’s Office in its Rackets Bureau for five and half years. She investigated and prosecuted felony and misdemeanor crimes committed by public officials and organized crime groups from the filing of the initial complaint to indictment and trial.

Taa has been recognized as one of 100 Leading Women Lawyers in NY by Crain’s New York Business in 2017, a Visionary Leader in Litigation by Inside Counsel in 2016, among the Most Influential Black Lawyer in 2015, and R3 – 100: Ready to Rise to become a general counsel in 2013 and 2015.

Taa is very active in the legal community. The New York City Bar Association recognized her as a Diversity Champion in 2015. The Metropolitan Black Bar Association recognized her dedication and leadership to the bar in 2010 by honoring her with its inaugural Bar Leaders of the Year Award. The New York State Bar Association also recognized Taa for her commitment to diversity in 2003 by honoring her with its Diversity Trailblazer Award.

She received her A.B. from Harvard College and her J.D. from Georgetown University Law Center.


Divonne advises clients on a wide range of legal matters, with a particular focus on legal and policy matters involving state attorneys general (AGs). Divonne has extensive experience counseling major corporations through government investigations and litigation, as well as private litigation. She regularly represents Fortune 100 companies on high-stakes matters, and advises clients in a wide array of industries.

Divonne works with clients to avoid becoming the target of state investigations and to resolve issues before they become litigation. She is also an experienced legal advocate, ready to represent companies when litigation becomes inevitable.

In addition, Divonne regularly represents clients before state AGs and monitors policy and legal trends that may impact clients at The National Association of Attorneys General (NAAG), Conference of Western Attorneys General (CWAG), and Democratic and Republican Attorneys General Associations (DAGA and RAGA).

With a particular interest in privacy and data-loss issues, Divonne uses her experience as an IAPP (International Association of Privacy Professionals) Certified Information Privacy Professional (CIPP/US) to help clients develop policies and strategies for complying with data privacy laws, and implementing industry best practices.

Honors and Awards

  • Recognized by Chambers USA: America's Leading Lawyers for Businesses as one of the country's top attorneys in her field
  • Accredited as a Certified Information Privacy Professional (CIPP/US) by the IAPP
  • Serves on the Education Advisory Board of IAPP
  • Experience as an adjunct professor at the Georgetown University Law Center and the George Washington University Law School (ADR and Negotiation Seminars)
  • Member, Law Firm Advisory Committee to the District of Columbia Office of Attorney General 

Publications

  • 14 June 2018 "DOJ and State AGs clash in Emoluments Clause arguments"
    Global Regulatory Enforcement Law Blog; Co-Author: Kimberly Chow
  • 22 May 2018 "Interview with Pennsylvania Attorney General Josh Shapiro"
    The Privacy Advisor; Co-Author: Kimberly Chow
  • 16 May 2018 "State AGs working toward cybersecurity safe harbor for businesses"
    Reed Smith Client Alerts; Co-Author: Kimberly Chow
  • 26 April 2018 "Arizona emerges as privacy innovator as its AG and Governor lead the charge"
    Technology Law Dispatch; Co-Authors: Kimberly Chow, Bretta T. Oluyede
  • 24 April 2018 "State Attorneys General Zero in on Elder Abuse, Health Services Industry Practices"
    Health Industry Washington Watch; Co-Authors: Kelley L. Chittenden, Kimberly Chow
  • 24 April 2018 "Arizona Attorney General Mark Brnovich on federal breach laws, state pre-emption, and class actions"
    The Privacy Advisor; Co-Author: Kimberly Chow
  • 23 April 2018 "State Attorneys General Zero in on Elder Abuse, Financial Exploitation"
    Financial Regulatory Report; Co-Authors: Kelley L. Chittenden, Kimberly Chow
  • 3 April 2018 "A complete quilt: South Dakota and Alabama are final two states to enact data breach laws"
    Technology Law Dispatch; Co-Author: Bretta T. Oluyede

 


The Honorable Lisa Margaret Smith is a United States Magistrate Judge for the Southern District of New York.  She sits in the Charles L. Brieant Federal Building and United States Courthouse in White Plains.  She was originally appointed in 1995 and she is currently serving her third term as a Magistrate Judge.  From 2006-2008 she served as Chief Magistrate Judge for the SDNY.

Prior to being appointed to the bench, Judge Smith was an Assistant United States Attorney in the Criminal Division of the United States Attorney's Office for the Southern District of New York (1987-1995).  Before becoming an AUSA she served as a Kings County (NY) Assistant District Attorney from 1980-1985, rising to Supervising Senior ADA in the Appeals Bureau, following service in several other bureaus.  From 1985-1986 Judge Smith was an Assistant Attorney General in the Appeals and Opinions Division of the New York State Department of Law, located in Albany.  She represented the State of New York on appeals in state and federal courts throughout New York, and she co-authored an amicus curiae brief on behalf of the National Association of State Attorneys General filed in the Supreme Court of the United States.  In 1986 Judge Smith re-joined the Kings County District Attorney’s Office as a Supervising Senior ADA.  She remained there until 1987, when she became an AUSA for the Southern District of New York.

Judge Smith earned her BA degree, with honors in political science, from Earlham College in Richmond, Indiana in 1977, and her JD degree from Duke University School of Law in Durham, North Carolina in 1980, where she was a member of the Moot Court Board.  She is a member of the Boards of Editors of the Federal Courts Law Review, an on-line and print journal of the Federal Magistrate Judges Association, and of the Federal Bar Council Quarterly.  Judge Smith has served in various positions on the Board of the Westchester Women's Bar Association, and currently serves as a Vice President and member of the Executive Committee.  She is active in the Federal Magistrate Judges Association, the Federal Bar Council, the Federal Bar Association, for which she has served as a Circuit Vice President, and JALBCA.  In 2014 Judge Smith was honored to receive the Judith S. Kaye Access to Justice Award from the Women's Bar Association of the State of New York.  In January of 2018 Judge Smith was also honored to receive the Kay Crawford Murray Award from the New York State Bar Association’s Committee on Women in the Law.

Judge Smith has been an Adjunct Professor at the Elisabeth Haub School of Law at Pace University (formerly Pace Law School) since 2006, where she has taught Evidence and Federal Courts, and co-taught Civil Procedure with Professor Michael B. Mushlin.  Judge Smith frequently lectures at CLE and Bar Association programs, with a particular focus on e-discovery and evidence.  She is a regular participant in events which educate children about the courts, including Take Your Children To Work Day, an annual program of the Westchester Women's Bar Association, as well as visits to the Courthouse by school and scout groups.

Judge Smith published an article, co-authored with Professor Mushlin, entitled "The Professor and the Judge: Introducing First-Year Students to the Law in Context."  The article appears in the Journal of Legal Education, Volume 63, number 3 (February 2014).  Judge Smith also wrote an article entitled "Top Ten Things You Probably Never Knew About Magistrate Judges," published in The Federal Lawyer in May, 2014.  She has also contributed numerous articles to the Federal Bar Council Quarterly.


Carrie Parikh is Vice President, Legal at Wyndham Hotel Group. In this role, Carrie provides vision, leadership, and direction to attorneys, paralegals and privacy professionals, and works closely with executive leadership in the following areas:

  • Global Privacy & Data Security
  • E-Commerce
  • IT Agreements
  • Loyalty Program & Engagement
  • Revenue Management
  • Distribution and Global Sales
  • Customer Care
  • Compliance
  • Call Centers
  • Strategic Sourcing & Credit Card Vendor Relationships

Prior to her position as VP, Carrie was Senior Counsel, Lead Global Privacy and Data Security where she managed the companies’ global privacy and data security program. Before joining Wyndham, Carrie was a Claims Manager for Technology, Media and Business Services claims at Beazley where she handled complex E&O claims in the tech and media world as well as privacy and health care breaches. Carrie began her legal career as associate at Manfredi & Associates, a small law firm in Hoboken where she practiced housing law representing many of New Jersey’s Public Housing Authorities. After a federal judicial clerkship with the Honorable Esther Salas (D.N.J.), she spent six years as an associate at DLA Piper, a large New York City law firm, where she focused on complex commercial litigation with an emphasis on insurance and securities law. Carrie received her B.A. from Syracuse University and J.D. from Rutgers University-Newark. She is admitted to practice law in the states of New York and New Jersey. In 2013, Carrie was named as a Super Lawyers, Rising Star for the metro New York area.


Christine Ryall is a Chief Trial Attorney for the Division of Enforcement of the Commodity Futures Trading Commission in Washington, DC. Since joining the CFTC in March 2000, Ms. Ryall has conducted and supervised investigations of violations of the Commodity Exchange Act and Commission Regulations, including fraud, market manipulation, illegal trade practices, and supervisory deficiencies in the retail, physical, futures, and swaps markets, and represents the CFTC in enforcement actions in federal district courts throughout the U.S. In 2017, Ms. Ryall completed a six-month detail at the DOJ Antitrust Division, where she focused on eDiscovery. Prior to joining the CFTC, Ms. Ryall served as Senior Counsel for the Florida Real Estate Commission in Orlando, Florida, handling administrative evidentiary hearings and appellate arguments before state appellate courts. Ms. Ryall also served as an Assistant Public Defender for the Second Judicial Circuit of Florida in Tallahassee, Florida, as first-chair in numerous jury and bench trials, hearings, and appeals in a variety of criminal cases. Ms. Ryall holds a J.D. from the University of Florida and an M.B.A. from Clemson University.


Jason Silverman focuses his practice on government investigations, export controls, white collar criminal defense, and litigation under the False Claims Act.

He has represented companies and individuals in connection with investigations by agencies of the Departments of Justice, Defense, Commerce and State; the Securities and Exchange Commission; and grand juries. Mr. Silverman has also represented clients in civil matters arising under the False Claims Act relating to cost charging, compliance with federal information security requirements, and other Federal contracts compliance issues.

He worked on the legal teams representing the court-appointed bankruptcy Examiner in the bankruptcy cases of Washington Mutual, REFCO, and DBSI, a real estate investment company. He is experienced in conducting internal investigations of potential violations relating to ITAR, EAR, OFAC, and FCPA and has represented clients in numerous voluntary disclosure matters arising under the ITAR and EAR, including classified matters. 

His public interest activities include serving as a member of the Volunteer Leadership Committee of the Washington Humane Society and representing individuals pro bono in criminal matters in DC Superior Court.

Mr. Silverman is a graduate of Northwestern University School of Law.


Manfred J. Gabriel is a Principal in KPMG’s Forensic Technology Services practice, where he focuses on electronic discovery. He provides clients with a wide range of services from enterprise-level e-discovery management to delivery on large, complex e-discovery projects. Manfred has many years of experience advising leading companies on various key areas including:

  • Responding to litigation e-discovery requests, including data identification and collection, data processing and hosting, and structuring document reviews, quality control, and document productions.
  • Advanced e-discovery workflows, with a particular focus on technology-assisted review or predictive coding, statistical sampling and statistical process control, as well as streamlining and integrating the various aspects of complex e-discovery projects.
  • Litigation readiness, litigation holds, and data preservation.
  • In addition, Manfred assists companies to put into place efficient systems and innovative technologies to control cost and risk in e-discovery. 

As a former practicing antitrust attorney, Manfred has successfully assisted clients respond to large, fast-paced regulatory requests, such as Second Requests in merger investigations and CIDs. He has worked with Fortune 1000 companies in several industries, including high tech, transportation, pharmaceuticals, and financial services.


Robin Greenwald manages Weitz & Luxenberg’s Environmental Tort and Consumer Class Action Unit. She has held this position since 2005. Ms. Greenwald has extensive knowledge and experience managing and trying complex mass and class litigation.

Ms. Greenwald began her career as an Assistant U.S. Attorney for the Eastern District of New York, where she served for 11 years. As an AUSA, she prosecuted both civil and criminal cases, with a focus on environmental prosecutions. She next joined the Department of Justice in Washington, D.C. as an Assistant Chief of the Environmental Crimes Section. In 1999, Ms. Greenwald was appointed as General Counsel for the Inspector General, U.S. Department of the Interior. 

Ms. Greenwald left government service after 19 years to become the Executive Director of Waterkeeper Alliance, an international water protection advocacy not-for-profit organization. Following Waterkeeper Alliance, Ms. Greenwald became a Clinical Professor of Law at Rutgers Law School – Newark. 

For the past 12 years, Ms. Greenwald has led Weitz & Luxenberg’s environmental and consumer class action litigations. She has held leadership positions in numerous national mass tort and class action cases, including the BP Oil Spill MDL, the GM Ignition Switch MDL, the recent Volkswagen Defeat Device MDL, and the MDL against Monsanto on behalf of people who used its herbicide Roundup and suffer from non-Hodgkins lymphoma. She also served as lead counsel for the MDL against the petroleum industry for contaminating the nation’s groundwater with a gasoline additive called MTBE. Ms. Greenwald also currently is co-lead counsel in a data breach class action consolidated action against a Blue Cross Blue Shield affiliate Excellus Health Plan, Inc., pending in the Northern District of New York. 

Ms. Greenwald earned her Juris Doctorate from the University of Illinois College of Law, Champaign-Urbana, in 1982. She was a member of the University of Illinois Law Review, where she also served as Senior Editor. She was admitted to practice in the State of Illinois in 1982.


Ms. McGlosson-Wilson is a newly appointed Associate Director in the Enforcement Division at the CFTC. 

Through December 2017, Ms. McGlosson-Wilson was Senior Special Counsel to the SEC’s Deputy Chief Economist and the Division of Economic and Risk Analysis’s Deputy Director, providing guidance and counsel on a wide variety of Commission legal and policy matters. She joined the Division of Economic and Risk Analysis in 2013, to advise Senior Division Staff on Enforcement Division investigation and litigation practices, strategies, and programmatic directives, so that these considerations may be integrated into the development of data-driven, risk analytic programs designed to detect federal securities law violations involving fraud and misconduct. She led the development of the Division’s Office of Risk Assessment, and speaks frequently about the SEC’s current use of data analytics. 

Ms. McGlosson-Wilson joined the SEC in 1998, and served in a variety of positions in the Division of Enforcement, including Senior Counsel to the Director and Deputy Director of Enforcement, Senior Adviser to the Chief of the Office of Market Intelligence, and Senior Counsel in the Office of Chief Counsel. She has also successfully investigated, brought before the Commission, and litigated in U.S. District Court, a number of financial fraud, insider trading, executive compensation, and microcap fraud cases. 

Ms. McGlosson-Wilson received her J.D. Cum Laude, from The Catholic University of America’s Columbus School of Law, where she received a concentration in Securities Law. She holds an A.B. in Government from Georgetown University, where she graduated with First Honors.