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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 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).


Manfred Gabriel is an attorney in Holland & Knight's New York office who leads the firm's Legal Support Services organization. In this role, Mr. Gabriel oversees Holland & Knight's comprehensive and integrated eDiscovery and fact-finding unit, which assists clients in managing the risks and costs of eDiscovery by leveraging advanced technology and workflows. In addition, he provides clients with a wide range of services from enterprise-level eDiscovery management to delivery on large, complex eDiscovery projects. He has assisted clients in:

  • responding to litigation eDiscovery requests, including data identification and collection, data processing and hosting, and structuring document reviews, quality control and document productions
  • advanced eDiscovery 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 eDiscovery projects
  • data privacy and General Data Protection Regulation (GDPR), especially for international companies active in the U.S.
  • litigation readiness, litigation holds and data preservation
  • sophisticated fact development to minimize the risk in litigation while strengthening the client's case

As an antitrust attorney, Mr. Gabriel has successfully assisted clients in responding to large, fast-paced regulatory requests. He has worked with Fortune 1000 companies in several industries, including high-tech, transportation, pharmaceuticals and financial services. Mr. Gabriel has testified as a 30(b)(6) witness on eDiscovery process and data spoliation issues.

In addition, Mr. Gabriel teaches eDiscovery at Benjamin N. Cardozo School of Law in New York.

Prior to joining Holland & Knight, Mr. Gabriel led the managed-review offering for a multinational professional services network. In addition, he led global engagements (including time in India to lead a team of 70) in eDiscovery, contract intelligence and litigation readiness. Mr. Gabriel also consulted on data privacy and cross-border discovery, including GDPR and International Traffic in Arms Regulations (ITAR).


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.


Christine Ryall is a Chief Trial Attorney with the Division of Enforcement of the U.S. Commodity Futures Trading Commission in Washington, D.C.  Since joining the CFTC in March 2000, Ms. Ryall has conducted and supervised numerous investigations of violations of the Commodity Exchange Act and Commission Regulations and represents the CFTC in enforcement actions in federal district courts throughout the U.S.  Prior to joining the CFTC, Ms. Ryall served as a Senior Counsel with the Florida Real Estate Commission in Orlando, Florida, handling administrative evidentiary hearings and proceedings before state appellate courts.  Ms. Ryall also served as an Assistant Public Defender with 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.


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

 


Kathleen is a highly accomplished technology and regulatory lawyer and former prosecutor with more than 17 years’ experience in the public sector. Her practice has a dual focus on compliance and investigations.

As Bureau Chief of the Bureau of Internet & Technology for the New York State Attorney General’s Office, Kathleen was at the forefront of regulation, enforcement initiatives, and public policy involving privacy, data security, and consumer protection, among other issues. Earlier in her career, she served as Director of the Office of Special Enforcement in the New York City Mayor’s Office, where, as lead counsel, she directed litigation on a number of intellectual property and civil nuisance matters and was a policy leader on issues ranging from data analytics to human trafficking. While with the Mayor’s Office, Kathleen also developed the New Business Acceleration Team to streamline regulations and fast-track new business development. Kathleen started her legal career as an Assistant District Attorney for the Bronx County District Attorney’s Office in New York, where she prosecuted domestic violence, child abuse, and sex crimes.

Kathleen's public sector experience gives her an edge in counseling emerging and mature companies on a broad spectrum of regulatory issues concerning technology, data security, and privacy. She has in-depth knowledge of matters involving unfair, deceptive, or abusive acts and practices (UDAAPs), as well as the Children's Online Privacy Protection Rule (COPPA), emerging privacy and data security laws, the Consumer Financial Protection Bureau, the Securities and Exchange Commission, the Federal Communications Commission, and the Federal Trade Commission. In addition, Kathleen's experience in municipal government and her understanding of how the administrative code affects business has given her a unique perspective on the intersection of commerce and the law. Clients appreciate her insights into how to identify unanticipated problems and develop creative, business-focused solutions.

Kathleen also provides counsel to individuals and companies facing investigations. As outside counsel on internal investigations, she is an effective fact-finder on matters such as alleged employee malfeasance and intellectual property claims, among others. She also represents clients in government-facing investigations, including white collar criminal defense. Clients in this area benefit from both her sophisticated grasp of technology-related criminal matters and her on-the-ground experience as a lead prosecutor in both jury and bench trials.

Kathleen is admitted to appear before the U.S. District Court for the Southern and Eastern Districts of New York.


Patrick Butts, CEDS, 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.


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 is currently serving her fourth term as a Magistrate Judge.  From 2006-2008 Judge Smith 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 has served the Westchester Women's Bar Association (WWBA) for many years, as co-chair of the Outreach Committee, a Local  Elected Director, a Vice-President, and President-Elect, in preparation for becoming the President of WWBA in 2020.  She is also 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 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 was nominated for both awards by the WWBA.

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-teaches 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 WWBA, as well as visits to the Courthouse by school and scout groups, and she advises the Rye Neck High School Mock Trial Team.

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 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.


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.


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.