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Ethics in Context: Summer 2013

 
Author(s): Stephen D. Brody, C. Evan Stewart, Helen V. Cantwell, Carole L. Basri, Nicole Hyland, Cristina R. Yannucci
Practice Area: Ethics/Professional Responsibility
Published: Jun 2013
ISBN: 9781402420320
PLI Item #: 42804
CHB Spine #: F240

Ben Wasserman is the founder of LegalMalpractice.com and serves as its Vice President and General Counsel. Ben has litigated, arbitrated, mediated and served as consulting and testifying expert in more than 1,000 legal malpractice, legal ethics, law firm billing and lawyer advertising disputes.  Counsel for plaintiffs, defendants and their Professional Liability Insurance companies regularly call upon Ben to serve as their strategic consultant and expert witness on liability and causatlon issues in legal malpractice litigation. A Hofstra Law School faculty member since 1990, Ben has taught advanced law students and practicing lawyers the law of Lawyer Malpractice. He is the Editor in Chief of the Legal Malpractice Law Review, a popular blog that comes up to the top on a Google search for "legal malpractice".

Separate and apart from his consulting and expert witness work at LegalMalpractice.com, Ben serves as Chair of the Legal Malpractice Law Department of Davis, Saperstein & Salomon, PC, where he prosecutes and defends  substantial legal malpractice claims. Ben is certified as a Diplomate by the American Board of Professional Liability Attorneys with specialization in Legal Professional Liability and is a Certified Civil Trial Attorney by the New Jersey Supreme Court. He is admitted to practice in New York, New Jersey and Pennsylvania.


Brett A. Scher is a Partner at Kaufman Dolowich & Voluck LLP, where he serves as the Co-Chair of the firm's Professional Liability Practice Group. His practice includes litigation in the fields of professional liability, insurance coverage disputes, commercial matters, securities, and general liability. Brett's practice addresses litigation on the trial and appellate levels throughout the United States in both state and federal courts. In the area of professional liability, Brett's practice includes complex attorney malpractice claims arising from underlying commercial litigation, securities law, real estate, personal injury, corporate governance, entertainment law and patent/trademark issues.

He also represents several companies with respect to the defense of class action claims under Fair Debt Collection Practices Act, Fair Credit Reporting Act and the Racketeer Influenced and Corrupt Organizations Act. Brett also represents accountants, actuaries and insurance brokers/agents and third party administrators on errors and omissions claims. He also specializes in claims involving real estate issues - including the defense of home appraisers, surveyors, home inspectors, real estate agents, lenders, building management companies, and real estate brokers. His insurance coverage practice focuses on policy drafting and coverage services with respect to professional liability policies, technology policies, investment management policies and commercial general liability policies. He is currently serving as international coverage/monitoring counsel for two of the largest domestic insurers, supervising securities law class actions and professional negligence claims arising from the collapse of the real estate market and several financial institutions.




C. Evan Stewart's practice focuses principally on the financial services industry, where he handles litigation matters for domestic and international clients before federal and state trial and appellate courts, in arbitration forums, as well as before the Judicial Panel on Multidistrict Litigation and the U.S. Supreme Court. He advises clients on a range of complex commercial matters, including antitrust, bankruptcy, class action defense, ethics, intellectual property, internal investigations, securities litigation, and tax controversies.

Mr. Stewart was featured by the New York Law Journal in the "Top Trials of 2005" for his successful representation of Theodore Sihpol, the first person in U.S. history to be criminally charged for "late trading" mutual funds. More recently, Mr. Stewart successfully represented Gary Prince against the U.S. Securities and Exchange Commission. In May of 2013, after a three week bench trial in federal court, the judge dismissed all six charges of securities fraud against Mr. Prince.

Mr. Stewart previously served twelve years as Executive Vice President and General Counsel for The Nikko Securities Co. International Inc., and as a director of Nikko Financial Services Inc. Additionally, Mr. Stewart served as First Vice President, Associate General Counsel, and Head of Litigation at E.F. Hutton & Company Inc.  Since 2003, Mr. Stewart has been tasked by Goldman, Sachs & Co. to, among other things, oversee and litigate all of the disputes arising out of the company's Private Wealth Management Division.

Recognized as a Super Lawyer for Securities Litigation since 2009, Mr. Stewart has also been hailed as a "Local Litigation Star" by Benchmark Litigation since 2010. In 2016, Mr. Stewart received the Sanford D. Levy Award from the New York State Bar Association's Ethics Committee for having "significantly contributed to an understanding of professional ethics by the publication of an article, commentary or a series of articles or commentaries on the subject." In 2008, he received the Modaq Content Award for writing the most popular article in the United States. Since 1980, Mr. Stewart has been AV(R) Peer Review Rated by Martindale-Hubbell.

Mr. Stewart is a visiting professor at Cornell University and an adjunct law professor at Fordham Law School. He has been a regularly contributing columnist for the New York Law Journal since 1990, the New York Business Journal since 2006, and has published approximately 300 articles on diverse legal subjects.  He is also frequently featured in the national media and regularly speaks across the country on securities professional responsibility and complex litigation issues.


Carole Basri is an adjunct professor at Fordham University School of Law and a visiting professor at Peking University School of Transactional Law. She helped to create the Corporate Compliance program at Fordham Law School, which includes a certificate and LLM in Corporate Compliance that launched in 2012.

Ms. Basri is a graduate of Barnard College and NYU School of Law, where she was a member of its National Moot Court Team. She then joined the Federal Government, where she was an Assistant Counsel with the United States Senate Antitrust and Monopoly Subcommittee and an attorney with the Federal Trade Commission. She later became in-house counsel with the advertising agency, NW Ayer Inc., and left to become an associate, first with Baker & McKenzie and then with Hall Dickler Lawler Kent and Friedman. Ms. Basri then became in-house counsel with Maidenform Inc. and a consultant with the Perrier Group Inc. From 1994 to 2002, she was a consultant to Deloitte & Touche LLP, where she helped to create its Ethics and Compliance practice. During this time, she also served as General Counsel of China On Line Inc.

Ms. Basri was the Senior Vice President of B3 Legal, a national legal and compliance staffing company that provides, among other things, attorneys and compliance professionals to serve as in-house counsel attorneys and Compliance Officers at financial institutions.  In addition, she has been Executive Director of the Greater NY Chapter of the Association of Corporate Counsel (ACC) for over 10 years (until September 2006).

Ms. Basri is also President of the Corporate Lawyering Group LLC, which advises on corporate compliance programs. She has created comprehensive compliance and ethics programs for major corporations, including the Dunn & Bradstreet Corporation, Cendant, Benjamin Moore & Co. and Dannon Inc. These programs were all launched within nine months and, in many cases, in multiple languages and locations. She also provides advice on law department management, document retention and corporate governance issues.

Carolina Academic Press just published two casebooks by Ms. Basri: Corporate Legal Departments and Corporate Compliance. 


Christina B. Dugger is a Managing Director and Associate General Counsel at J.P. Morgan Chase & Co., where she heads the Government Investigations and Regulatory Enforcement Group (GIRE).  Christina rejoined J.P. Morgan in June of 2014 after serving as the Chief Assistant U.S. Attorney for the Eastern District of New York for over two years.

During her tenure as a federal prosecutor she tried numerous cases, including the retrial of Lemrick Nelson for the civil rights murder of Yankel Rosenbaum during the 1991 Crown Heights riots and, more recently, the March 2014 conviction of New York State Assemblyman William Boyland Jr. on bribery, extortion and corruption charges.

After leaving the U.S. Attorney’s Office in 2008, she was a Compliance Vice President in the Global Securities Division of Goldman Sachs & Co., where she focused on Fixed Income.  She then joined J.P. Morgan and helped to manage GIRE for close to three years. Christina began her legal career an associate at the New York law firm of Rogers & Wells, and then served as a law clerk to the Honorable Judith S. Kaye, Chief Judge of the New York State Court of Appeals.


Claudia T. Morgan is eDiscovery Counsel in Wachtell, Lipton, Rosen & Katz’s Litigation Department. She focuses her practice on electronic discovery and information management, both domestically and abroad.  She has significant experience in responding to and advising on litigation in federal and state courts, regulatory requests for information, and internal investigations.

Ms. Morgan has managed all aspects of discovery, including coordinating with clients’ litigation departments, directing and consulting with vendors, and hiring and managing teams of contract attorneys and paralegals. She also has experience working with expert witnesses to collect and analyze relevant data.

Ms. Morgan counsels clients on a range of information risk management issues, including eDiscovery and Records and Information Management (RIM) best practices and litigation preparation. She has worked with clients in overhauling their corporate RIM policies and procedures.

Ms. Morgan received a B.S.F.S. from Georgetown University in 1992 and completed her J.D., with honors, from George Mason University School of Law in 1998.

Ms. Morgan is a member of the American Bar Association, the New York State Bar Association, and The Sedona Conference Working Groups 1 (Electronic Document Retention and Production), 6 (International Electronic Information Management, Discovery and Disclosure), and 11 (Data Security and Privacy Liability).

 

 

 


Cristina Yannucci is a partner in the New York office of Lewis Brisbois and a vice-chair of the Legal Malpractice Defense Practice. Her practice focuses on litigation in the fields of professional liability, insurance coverage and municipal liability. The professional liability practice encompasses claims against attorneys, accountants, appraisers, brokers, title companies, real estate managers, directors and officers. Many of the attorney malpractice claims arise from underlying complex real estate transactions, commercial litigation, international law, the Uniform Commercial Code and corporate governance. Ms. Yannucci’s practice is venued in both the state and federal courts, including many professional liability matters arising in the context of adversary proceedings commenced in the bankruptcy courts. Additionally, Ms. Yannucci handles appellate matters at both the state and federal levels. Before joining Lewis Brisbois, Ms. Yannucci developed her legal expertise as a partner in a large litigation firm, and was a criminal defense attorney with the Nassau County Legal Aid Society.


David Boyd Booker is a New York corporate attorney specializing in fixed income derivative transactions.  Since 2007, he has been with the New York office of the Paris based corporate and investment bank, Crédit Agricole Corporate and Investment Bank, where he currently is a Managing Director and Senior Counsel and is the Head of Fixed Income Derivatives for the Americas – Legal.  Previously Mr. Booker practiced for several years in the New York legal department of Credit Suisse.  In addition, prior to going in-house, he practiced for a number of years in New York with the law firm Milbank Tweed Hadley & McCloy and then the law firm Paul Hastings Janofsky & Walker.  Mr. Booker holds a BA from Wesleyan University and a JD from Cornell Law School.

Mr. Booker has previously been a presenter at various programs conducted by the Practicing Law Institute, the American Bar Association, ACI, FTF and SIFMA and he has spoken at classes at the University of Pennsylvania Law School and the Fordham University Law School.  In addition, Mr. Booker is a member of the New York State Bar Association (where he is a member of the Derivatives and Structured Products Committee), the Bar Association of the City of New York (where he is a member of the Futures and Derivatives Committee) and the Association of Corporate Counsel (where he is a member of the Energy Committee and the Financial Services Committee).  Mr. Booker is also a member of SIFMA’s Derivative Task Force Committee and ISDA’s Credit Derivatives Committee among others.

Mr. Booker is a native Manhattanite and resides in Manhattan with his wife and two children.  He is also an avid wine collector, traveler and skier.


Helen V. Cantwell is a litigation partner with extensive trial experience. Her practice focuses on white collar criminal defense, regulatory enforcement actions and internal investigations for a wide variety of corporations and financial institutions. In addition to advising clients on their responses to state and federal investigations, she also advises these clients on their compliance obligations.

Ms. Cantwell also has deep experience in conducting sensitive investigations involving allegations of sexual misconduct and sexual harassment, dating back to her service as a prosecutor in the Manhattan DA’s Sex Crimes Unit.

Chambers USA (2018) recognizes Ms. Cantwell as a leading practitioner in white collar criminal defense and investigations matters. She is described as “incredibly bright and sharp” by fellow practitioners, who praise her ability to “get up to speed lightning fast.” Clients note that Ms. Cantwell is a “very confident advocate” and commend her “standout judgment and attention to detail.”

Prior to joining the firm, Ms. Cantwell served for eight years as an Assistant United States Attorney for the Southern District of New York. During her tenure in the U.S. Attorney’s Office, she was a member of the Securities and Commodities Fraud Task Force and worked closely with the Securities and Exchange Commission, the Commodities Futures Trading Commission and other law enforcement and regulatory agencies. Ms. Cantwell joined the U.S. Attorney’s Office in 2000, after four years as an Assistant District Attorney in the New York County District Attorney’s Office. She is a recipient of the Department of Justice Director’s Award for Superior Performance as a Federal Prosecutor.


Jason Sabot is a Senior Vice President and Associate General Counsel at JP Morgan Chase, where he leads a Group within Government Investigations and Regulatory Enforcement that manages responses to non-routine government inquiries, and conducts internal investigations relating to the firm’s consumer lines of business.  Jason also manages the New York Subpoena Escalation Team, which reviews grand jury and regulatory subpoenas and escalates where appropriate to various areas of the company.  Prior to JPMorgan Chase, Jason spent five years in-house as Senior Managing Counsel at The Bank of New York Mellon, managing investigations and enforcement actions.  Before that, Jason spent over ten years as a federal prosecutor at the United States Attorney's Office, Southern District of New York, including over 5 years on the Securities and Commodities Fraud Task Force.  He began his legal career as an Enforcement Lawyer with the United States Securities and Exchange Commission in New York.  He presently serves on the Government Ethics Committee of the New York City Bar Association.  He is an active member of the Closter, New Jersey Lions Club, and a graduate of Hofstra Law School.  He coaches baseball and soccer teams that his two sons play on.


Mark Cohen is a partner of the firm, which he co-founded in 2002,  and is head of the firm's Litigation and Arbitration and White Collar Defense groups.  Mark’s litigation practice includes complex commercial litigation, real estate litigation, shareholder, securities, and derivatives litigation, employment litigation, corporate control and M&A litigation, and antitrust litigation. He also focuses on white collar defense, regulatory enforcement, and internal investigations, where he represents companies, financial institutions, corporate boards and their committees, and individual clients in white collar criminal cases, federal and state regulatory proceedings, proceedings before self-regulatory organizations, and corporate internal investigations. Mark is a fellow of the American College of Trial Lawyers.

Since 2011, he has served as a court-appointed monitor for the largest fire department in the country following his appointment by the U.S. District Court for the Eastern District of New York. The monitorship involves implementing the Court’s remedial order following a lawsuit alleging racial discrimination.

Mark is a magna cum laude graduate of the University of Michigan Law School, where he was a Note Editor of the Law Review. He formerly practiced with Fried, Frank, Harris, Shriver & Jacobson and served as an Assistant United States Attorney for the Eastern District of New York.

Mark has been ranked by the Chambers USA guide as a “Leading Individual” in the white collar crime and government investigations category each year since 2013 and has been recognized in its securities litigation category since 2016. He is recognized in Legal 500’s U.S. guide in the categories of corporate investigations and white collar criminal defense, securities litigation, and general commercial disputes. He is regularly recognized by The Best Lawyers in America in the Criminal Defense: White Collar category, and has been a member of Law360's editorial advisory board for its white collar coverage since 2014. He has also been named a “Local Litigation Star” in the last six editions of Benchmark Litigation and has been included as one of New York’s Super Lawyers for Business Litigation each year since 2008. Mark has been selected by Super Lawyers each year since 2014 as one of the top 100 lawyers in the  New York metropolitan area. He is a visiting lecturer at the Sorbonne University in Paris, teaching a course to French law students on U.S. white collar criminal law.

Activities and Affiliations

Fellow, American College of Trial Lawyers Board of Trustees, Federal Bar  Council Visiting Lecturer, Sorbonne University (Paris)

Member, Law360 Editorial Advisory Board (for White Collar Coverage)

Member, Securities Industry and Financial Markets Association (Compliance and Legal Division) Member, American Bar Association (Section on Litigation)

Former Co-Chair, Securities Subcommittee of the Committee on Commercial and Business Litigation, American Bar Association

Board of Trustees, Supreme Court Historical Society Member, New York City Bar Association

Board of Directors, New York Council of Defense Lawyers, 2008-2011 Member, UJA-Federation of New York (Lawyers Division, Criminal Law Group)

Practice Areas

Litigation and Arbitration; White Collar Defense

Education

University of Michigan Law School (J.D., magna cum laude, 1987); Cornell University (B.A., Phi Beta Kappa, 1984)

Bar Admissions

New York State; U.S. District Courts for the Southern and Eastern Districts of New York; U.S. Court of Appeals for the Second Circuit


Nicole Hyland is a Partner at Frankfurt Kurnit Kurnit Klein & Selz.  She counsels lawyers on ethics issues, such as advertising and social media use, conflicts of interest, legal fee disputes, escrow issues, multijurisdictional law practice, and more. She also represents lawyers in disciplinary proceedings, disqualification motions and malpractice cases. 

 Ms. Hyland serves on the New York State Bar Association’s Committee on Standards for Attorney Conduct (COSAC), which is responsible for drafting and proposing amendments to the New York Rules of Professional Conduct.  Since 2008, she has been a member of the Association of Professional Responsibility lawyers (APRL), a national organization of ethics and professional responsibility lawyers and she is co-chair of the Professional Ethics Committee of the New York Women’s Bar Association.  Ms. Hyland is the immediate past Chair of the Committee on Professional Ethics of the New York City Bar Association, which provides guidance to New York state lawyers on a wide range of ethical issues, issues formal and informal written opinions, and operates the Ethics Hotline, a free resource for all New York state attorneys. 

 Ms. Hyland frequently writes and lectures on legal ethics and professional responsibility issues.  She is the co-author, along with Professor Roy Simon, of the 2015, 2016 and 2017 editions of Simon’s New York Rules of Professional Conduct Annotated.


Noah J. Hanft is general counsel and chief franchise integrity officer for MasterCard Worldwide. In this capacity, he is responsible for overseeing legal affairs, public policy and compliance. Mr. Hanft also has responsibility for Franchise Development, Global Diversity, Corporate Security and Payment System Integrity, which includes oversight of Fraud Management, Security and Risk Services, and Global Product and Information Security. He is a member of the company's Executive Committee.

Since first joining MasterCard in 1984, Mr. Hanft has held positions of increasing responsibility within the Law Department, including that of senior vice president, U.S. Counsel and Assistant General Counsel.

He briefly left MasterCard from 1990 to 1993 to become senior vice president and Assistant General Counsel of AT&T Universal Card Services, where he successfully defended numerous legal and regulatory challenges initiated against AT&T's start-up credit card operation.  He was previously associated with the intellectual property law firm of Ladas & Parry in New York. He began his career as a trial attorney in the criminal defense division of the Legal Aid Society.

Mr. Hanft currently serves on the boards of the Legal Aid Society and of Network For Teaching Entrepreneurship (NFTE). In 2012, he was named General Counsel of the Year at the Global Counsel Awards.

Mr. Hanft has a master of laws degree from New York University School of Law in trade regulations, a doctor of jurisprudence degree from Brooklyn Law School, and a bachelor's degree from American University, School of Government and Public Administration.


As Practice Leader of the E-Discovery and Data Management Group, Mr. Yannella manages litigation involving complex eDiscovery, leveraging his experience as National Discovery Counsel for more than a dozen companies in nationwide litigations. He advises clients in a wide range of industries on the creation of records retention policies and schedules, and the implementation of worldwide information governance programs.


Raja is responsible for oversight of the company’s Compliance program, including Financial Crimes Compliance, as well as other global risk responsibilities.  He also participates in Tishman Speyer’s Investment and Management Committees.

Raja previously worked at Morgan Stanley for ten years as the Global Head of the Anti-Corruption Group, the Global Head of Special Investigations, and the Firm’s Global Franchise Committee Officer.

Prior to joining Morgan Stanley, Raja was a prosecutor for ten years, most recently at the Department of Justice, Criminal Division, Fraud Section, in Washington, DC.  Raja also served as an Assistant District Attorney at the New York County District Attorney's Office.


Jeanine Conley, the Hiring Partner for summer and fall recruitment in BakerHostetler's New York office, focuses her practice on employment and complex commercial litigation. She has tried a number of employment and commercial disputes in both federal and state court successfully. She also has spent numerous years representing companies and their officers, directors and employees in white collar matters and corporate investigations, including, whistleblower, insider trading and anti-kickback matters. Ms. Conley counsels clients primarily in the health, media and entertainment, hospitality and financial services industries on a range of employment, compliance and regulatory issues. She has represented clients before several government agencies, including the Equal Employment Opportunity Commission, New York State Division of Human Rights, United States Department of Justice, United States Attorneys' Offices and New York State Attorney General's Office. She advises companies on a variety of employment matters, including age, gender, race and disability discrimination, sexual harassment, and wage and hour claims and assists them with corporate policy matters and internal trainings and investigations.

Since 2009, Ms. Conley has been a member of the BakerHostetler team that serves as Counsel to the SIPA Trustee for the liquidation of Bernard L. Madoff Investment Securities LLC, working on the global investigation of the Ponzi scheme-the largest financial fraud in history-and related litigations seeking recoveries for the Customer Fund.

Before joining BakerHostetler, Ms. Conley clerked for the Honorable William G. Bassler in the United States District Court for the District of New Jersey and worked at Arnold & Porter. Throughout her career, Ms. Conley has maintained an active pro bono practice and is very active within her community.  Ms. Conley is on the board of various nonprofit organizations, including the New York Urban League and Early Stages. She is chair of the New York City Bar's Committee on Minorities in the Profession and past chair of the Advisory Board of the Urban Assembly School of Criminal Justice. Ms. Conley also is past president of the Association of Black Women Attorneys, a former delegate to the New York State Bar House of Delegates and a former fellow of the Council of Urban Professionals fellowship program. She is a member of the National Bar Association and the American Bar Association and recently was named to the Power 100 List by On Being a Black Lawyer ("OBABL") as one of the Top Ten to Watch and as one of the Nation's Best Advocates: 40 Lawyers under 40 by the National Bar Association and Impact and as the Network Journal's 40 under Forty. Ms. Conley also received the Diversity Champion Award from the New York City Bar in 2011.   


Steve Brody is an accomplished trial lawyer who handles a wide variety of complex, aggregated litigation, with a primary focus on mass torts, product liability, class actions, government investigations, and appeals. Steve chairs the firmwide Product Liability and Mass Torts Practice, and leads the practice’s Drug and Medical Device subgroup. He also works frequently with attorneys in the firm’s Consumer Class Actions, White Collar Defense and Corporate Investigations, and Appellate Practice Groups.

Steve works with clients beyond the near-term victory in a single dispute and toward the achievement of systemic changes that benefit clients’ businesses well into the future. Steve has defended class actions and state attorney general cases involving pharmaceutical marketing, consumer fraud, state Medicaid reimbursement, health insurance plan benefits, preferred provider agreements, and 401(k) fees and retirement plan investment selection. At the federal appellate level, he has recently handled appeals in the Fourth, Eighth, Ninth, Tenth, Eleventh and DC Circuits, and state appellate courts in Arkansas, California, Louisiana, New Jersey, Pennsylvania, South Carolina, Texas, Virginia, and West Virginia.


Susan J. Kohlmann is an experienced litigator in our Content, Media & Entertainment Practice, chair of the Trademark, Advertising and Unfair Competition Practice and managing partner of the firm's New York Office. Clients seek her counsel on a wide variety of complex matters, including copyright, trademark and trade secret disputes. She has also represented companies in various class action and other complex commercial matters. In addition to her extensive experience in jury and bench trials and arbitration proceedings, Ms. Kohlmann has extensive experience briefing and arguing appeals in the New York appellate courts and several federal circuit courts.

Ms. Kohlmann is consistently recognized by Legal 500 for her leadership in copyright law, and in 2018, was named one of only eight “Leading Lawyers” in the nationwide category.  She has also been recognized by Legal 500 for appellate and Supreme Court litigation as well as media and entertainment law. Chambers USA has consistently recognized Ms. Kohlmann in its Intellectual Property: Trade Mark & Copyright (New York) practice area. She was named American Lawyer’s “Litigator of the Week” in September 2017 for leading a Jenner & Block team to a $13.15 million verdict for the Estate of Elaine Steinbeck, the late third wife of author John Steinbeck, in a trial over the rights to the writer’s works. She was also named a 2018 National Law Journal “Intellectual Property Trailblazer” for the victory. The trial win also earned the firm a spot as a “Legal Lion” on Law360’s weekly “Legal Lions and Lambs” report. Managing Intellectual Property consistently names her an “IP Star” and has named her among the “Top 250 Women in IP.” A member of Jenner & Block’s Policy Committee, Ms. Kohlmann also serves as chair of the firm’s Diversity Committee and on the New York office's Pro Bono Committee.

 


C. Evan Stewart's practice focuses principally on the financial services industry, where he handles litigation matters for domestic and international clients before federal and state trial and appellate courts, in arbitration forums, as well as before the Judicial Panel on Multidistrict Litigation and the U.S. Supreme Court. He advises clients on a range of complex commercial matters, including antitrust, bankruptcy, class action defense, ethics, intellectual property, internal investigations, securities litigation, and tax controversies.

Mr. Stewart was featured by the New York Law Journal in the "Top Trials of 2005" for his successful representation of Theodore Sihpol, the first person in U.S. history to be criminally charged for "late trading" mutual funds. More recently, Mr. Stewart successfully represented Gary Prince against the U.S. Securities and Exchange Commission. In May of 2013, after a three week bench trial in federal court, the judge dismissed all six charges of securities fraud against Mr. Prince.

Mr. Stewart previously served twelve years as Executive Vice President and General Counsel for The Nikko Securities Co. International Inc., and as a director of Nikko Financial Services Inc. Additionally, Mr. Stewart served as First Vice President, Associate General Counsel, and Head of Litigation at E.F. Hutton & Company Inc.  Since 2003, Mr. Stewart has been tasked by Goldman, Sachs & Co. to, among other things, oversee and litigate all of the disputes arising out of the company's Private Wealth Management Division.

Recognized as a Super Lawyer for Securities Litigation since 2009, Mr. Stewart has also been hailed as a "Local Litigation Star" by Benchmark Litigation since 2010. In 2016, Mr. Stewart received the Sanford D. Levy Award from the New York State Bar Association's Ethics Committee for having "significantly contributed to an understanding of professional ethics by the publication of an article, commentary or a series of articles or commentaries on the subject." In 2008, he received the Modaq Content Award for writing the most popular article in the United States. Since 1980, Mr. Stewart has been AV(R) Peer Review Rated by Martindale-Hubbell.

Mr. Stewart is a visiting professor at Cornell University and an adjunct law professor at Fordham Law School. He has been a regularly contributing columnist for the New York Law Journal since 1990, the New York Business Journal since 2006, and has published approximately 300 articles on diverse legal subjects.  He is also frequently featured in the national media and regularly speaks across the country on securities professional responsibility and complex litigation issues.


Carole Basri is an adjunct professor at Fordham University School of Law and a visiting professor at Peking University School of Transactional Law. She helped to create the Corporate Compliance program at Fordham Law School, which includes a certificate and LLM in Corporate Compliance that launched in 2012.

Ms. Basri is a graduate of Barnard College and NYU School of Law, where she was a member of its National Moot Court Team. She then joined the Federal Government, where she was an Assistant Counsel with the United States Senate Antitrust and Monopoly Subcommittee and an attorney with the Federal Trade Commission. She later became in-house counsel with the advertising agency, NW Ayer Inc., and left to become an associate, first with Baker & McKenzie and then with Hall Dickler Lawler Kent and Friedman. Ms. Basri then became in-house counsel with Maidenform Inc. and a consultant with the Perrier Group Inc. From 1994 to 2002, she was a consultant to Deloitte & Touche LLP, where she helped to create its Ethics and Compliance practice. During this time, she also served as General Counsel of China On Line Inc.

Ms. Basri was the Senior Vice President of B3 Legal, a national legal and compliance staffing company that provides, among other things, attorneys and compliance professionals to serve as in-house counsel attorneys and Compliance Officers at financial institutions.  In addition, she has been Executive Director of the Greater NY Chapter of the Association of Corporate Counsel (ACC) for over 10 years (until September 2006).

Ms. Basri is also President of the Corporate Lawyering Group LLC, which advises on corporate compliance programs. She has created comprehensive compliance and ethics programs for major corporations, including the Dunn & Bradstreet Corporation, Cendant, Benjamin Moore & Co. and Dannon Inc. These programs were all launched within nine months and, in many cases, in multiple languages and locations. She also provides advice on law department management, document retention and corporate governance issues.

Carolina Academic Press just published two casebooks by Ms. Basri: Corporate Legal Departments and Corporate Compliance. 


Helen V. Cantwell is a litigation partner with extensive trial experience. Her practice focuses on white collar criminal defense, regulatory enforcement actions and internal investigations for a wide variety of corporations and financial institutions. In addition to advising clients on their responses to state and federal investigations, she also advises these clients on their compliance obligations.

Ms. Cantwell also has deep experience in conducting sensitive investigations involving allegations of sexual misconduct and sexual harassment, dating back to her service as a prosecutor in the Manhattan DA’s Sex Crimes Unit.

Chambers USA (2018) recognizes Ms. Cantwell as a leading practitioner in white collar criminal defense and investigations matters. She is described as “incredibly bright and sharp” by fellow practitioners, who praise her ability to “get up to speed lightning fast.” Clients note that Ms. Cantwell is a “very confident advocate” and commend her “standout judgment and attention to detail.”

Prior to joining the firm, Ms. Cantwell served for eight years as an Assistant United States Attorney for the Southern District of New York. During her tenure in the U.S. Attorney’s Office, she was a member of the Securities and Commodities Fraud Task Force and worked closely with the Securities and Exchange Commission, the Commodities Futures Trading Commission and other law enforcement and regulatory agencies. Ms. Cantwell joined the U.S. Attorney’s Office in 2000, after four years as an Assistant District Attorney in the New York County District Attorney’s Office. She is a recipient of the Department of Justice Director’s Award for Superior Performance as a Federal Prosecutor.


Nicole Hyland is a Partner at Frankfurt Kurnit Kurnit Klein & Selz.  She counsels lawyers on ethics issues, such as advertising and social media use, conflicts of interest, legal fee disputes, escrow issues, multijurisdictional law practice, and more. She also represents lawyers in disciplinary proceedings, disqualification motions and malpractice cases. 

 Ms. Hyland serves on the New York State Bar Association’s Committee on Standards for Attorney Conduct (COSAC), which is responsible for drafting and proposing amendments to the New York Rules of Professional Conduct.  Since 2008, she has been a member of the Association of Professional Responsibility lawyers (APRL), a national organization of ethics and professional responsibility lawyers and she is co-chair of the Professional Ethics Committee of the New York Women’s Bar Association.  Ms. Hyland is the immediate past Chair of the Committee on Professional Ethics of the New York City Bar Association, which provides guidance to New York state lawyers on a wide range of ethical issues, issues formal and informal written opinions, and operates the Ethics Hotline, a free resource for all New York state attorneys. 

 Ms. Hyland frequently writes and lectures on legal ethics and professional responsibility issues.  She is the co-author, along with Professor Roy Simon, of the 2015, 2016 and 2017 editions of Simon’s New York Rules of Professional Conduct Annotated.


Cristina Yannucci is a partner in the New York office of Lewis Brisbois and a vice-chair of the Legal Malpractice Defense Practice. Her practice focuses on litigation in the fields of professional liability, insurance coverage and municipal liability. The professional liability practice encompasses claims against attorneys, accountants, appraisers, brokers, title companies, real estate managers, directors and officers. Many of the attorney malpractice claims arise from underlying complex real estate transactions, commercial litigation, international law, the Uniform Commercial Code and corporate governance. Ms. Yannucci’s practice is venued in both the state and federal courts, including many professional liability matters arising in the context of adversary proceedings commenced in the bankruptcy courts. Additionally, Ms. Yannucci handles appellate matters at both the state and federal levels. Before joining Lewis Brisbois, Ms. Yannucci developed her legal expertise as a partner in a large litigation firm, and was a criminal defense attorney with the Nassau County Legal Aid Society.


Steve Brody is an accomplished trial lawyer who handles a wide variety of complex, aggregated litigation, with a primary focus on mass torts, product liability, class actions, government investigations, and appeals. Steve chairs the firmwide Product Liability and Mass Torts Practice, and leads the practice’s Drug and Medical Device subgroup. He also works frequently with attorneys in the firm’s Consumer Class Actions, White Collar Defense and Corporate Investigations, and Appellate Practice Groups.

Steve works with clients beyond the near-term victory in a single dispute and toward the achievement of systemic changes that benefit clients’ businesses well into the future. Steve has defended class actions and state attorney general cases involving pharmaceutical marketing, consumer fraud, state Medicaid reimbursement, health insurance plan benefits, preferred provider agreements, and 401(k) fees and retirement plan investment selection. At the federal appellate level, he has recently handled appeals in the Fourth, Eighth, Ninth, Tenth, Eleventh and DC Circuits, and state appellate courts in Arkansas, California, Louisiana, New Jersey, Pennsylvania, South Carolina, Texas, Virginia, and West Virginia.