2011 Chief Legal Officer Leadership Forum: Spring Event (New York)
Wednesday, March 9, 2011
New York, NY
Alex Arato
Vice President & Associate General Counsel
CA
Alexander Arato is the Vice President and Associate General Counsel of CA, Inc. In that capacity, Mr. Arato is responsible for managing relationships with outside counsel as well as assisting the general counsel in formulating and implementing internal policies and strategies. He is also primarily responsible for CA, Inc.’s eDiscovery and overall records management policies and procedures. Further, Mr. Arato is primary counsel to two CA business units and has managed various M&A transactions.
Mr. Arato has also served as CA’s Managing Attorney and been responsible for managing aspects of CA’s trade secret, contract, employment and tort litigation in federal, state and bankruptcy courts.
Prior to joining CA, Mr. Arato was counsel to and associated with the firm of Heller Ehrman White & McAuliffe in Los Angeles, California, where he represented clients in complex trade secret, product liability, contract, tort and class actions before federal and state courts. Prior to that, Alex was associated with the firms of Weinhart & Riley and Manatt Phelps & Phillips.
Mr. Arato has a B.A. in Economics from the University of California at Berkeley and a J.D, magna cum laude, from the Benjamin N. Cardozo School of Law, where he was a member of the Law Review.
Michael Asen
VP, Product Marketing, Legal Management Solutions
IntraLinks
Michael leads the global segment for the IntraLinks for Legal Management solution suite. He previously led all product and platform development and product management for the Legal Markets Group at Wolters Kluwer. Michael also held senior marketing and product management positions at McGraw-Hill at the corporate level, and at Medialink as Vice President of Marketing and Communications. He practiced as an attorney in corporate and commercial litigation for Stern, Steiger, and during that time Michael was an adjunct professor of law at Montclair State University. Michael has a B.A. from the S.I Newhouse School of Public Communications, Syracuse University and a J.D. from Boston University School of Law.
Ernie Babcock
Deputy General Counsel
General Dynamics Corporation
Ernie Babcock is Vice President and Deputy General Counsel at the corporate headquarters of General Dynamics Corporation in Falls Church, Virginia. He has been with General Dynamics since 2000.
Mr. Babcock provides advice to the General Counsel and brings his expertise in litigation to the corporate law department. Prior to moving to corporate headquarters in January 2010, he was General Counsel of General Dynamics Land Systems, Inc. in Sterling Heights, Michigan. Mr. Babcock assisted in the integration of the former GM Defense to the umbrella of General Dynamics. He started his career with General Dynamics in Bath, Maine, where Mr. Babcock established the legal department at Bath Iron Works. His remarkable sense of litigation/risk management led to the recovery of $14 million in a health insurance settlement, as well as the completion the construction of a multi-million dollar land level transfer facility.
Before his exceptional career with General Dynamics, Mr. Babcock was the founding and managing partner of Friedman & Babcock, Portland, Maine, where he established his reputation in civil litigation. Prior to that, he was a partner in Pierce, Atwood, also in Portland.
Mr. Babcock is admitted to practice law in Maine and Michigan, as well as the First Circuit Court of Appeals and United States District Court, District of Maine. He is a member of the Maine State Bar Association, the Michigan State Bar Association, the Dartmouth Lawyers Association, and the Defense Research Institute. Mr. Babcock is a graduate of Boston University School of Law, and a graduate of Dartmouth College.
Matthew Banks
Senior Vice President of Legal Services
Integreon
Matthew is the global head of Integreon’s Legal Solutions business. Based in New York, he oversees strategy, solution offerings and best practices.
Matthew and Integreon have shared significant success in bringing to market legal solutions which meet the evolving needs of General Counsel and law firms in a truly value added way.
Matthew joined Integreon in mid-2006 and has grown the Legal Solutions business to more than 500 people globally providing major corporations, banks and law firms support in litigation discovery, regulatory/compliance, contract management, due diligence, knowledge management and IP.
Prior to joining Integreon he was CEO and co-founder of a niche LPO in early 2005, making him a legal outsourcing pioneer. His 5 years based in Mumbai provided him with a deep understanding of operational success criteria for serving demanding clients.
Matthew is a regular speaker at conferences and is frequently featured in industry articles.
Previously, Matthew practiced as a commercial real estate development lawyer in London for 10 years at Linklaters and Eversheds.
He holds an MA in Jurisprudence from Oxford University.
Joseph W. Bauer
Former Vice President and General Counsel
The Lubrizol Corporation
Joseph W. Bauer was the general counsel of The Lubrizol Corporation, a publicly traded global producer of chemical ingredients, for 20 years before forming Bauer Advising LLC. He advises large companies and law firms on commercial insurance terms and alternative legal fee arrangements, and hosts educational programs on these subjects. He is a member of the Conference Board's Council of Chief Legal Officers, and a trustee of Providence House, a crisis residence for infants and young children in Cleveland, Ohio. Early in his career he practiced with Jones Day.
Marla Bergman
Vice President Legal and Internal Audit
Goldman Sachs
Marla Bergman is a graduate of Duke University and the Boston University School of Law. She practiced law at Jones Day for 22 years, specializing in the discovery phase of litigation. She has worked on securities law, product liability, commercial, bankruptcy and employment law cases concentrating on electronic discovery issues. Marla's expertise involves counseling corporations with respect to the preservation, collection, review and production of electronic information. Marla is currently a Vice President in Legal and Internal Audit at Goldman Sachs where she manages the Firms global e-discovery efforts. Marla is a regular speaker and author on electronic discovery issues.
Peter Beshar
Executive Vice President and General Counsel
Marsh & McLennan Companies
Since late 2004, Peter J. Beshar has served as the General Counsel of Marsh & McLennan Companies. In February 2006, Mr. Beshar was appointed an Executive Vice President. Prior to joining Marsh & McLennan, Mr. Beshar was a litigation partner in the New York office of Gibson, Dunn & Crutcher where he served as Co-Chair of the firm's Securities Litigation Group.+
Mr. Beshar previously served as the Assistant Attorney General in charge of the New York State Attorney General's Task Force on Illegal Guns and as the Special Assistant to the Honorable Cyrus Vance in the peace negotiations over the former Yugoslavia. Mr. Beshar graduated from Yale University in 1984 and from Harvard Law School in 1989. Following law school, Mr. Beshar clerked for the Honorable Vincent Broderick of the United States District Court for the Southern District of New York.
In 2008, Mr. Beshar was selected as a David Rockefeller Fellow by the Partnership for the City of New York. In 2009, Mr. Beshar received the Business Leadership Award from the Citizens Union of New York. In 2010, Mr. Beshar received the Burton Award for leadership in the law. Mr. Beshar is a member of the Council on Foreign Relations and a volunteer executive in Mayor Bloomberg’s Greater New York initiative.
Rick Cotton
Executive Vice President and General Counsel
NBC Universal
Rick Cotton was named executive vice president and general counsel of NBCUniversal in August 2004. He supervises the NBCUniversal Law Department, which provides legal advice to all NBCUniversal business units for their ongoing operations and for new strategic plans and acquisitions. In addition, he oversees NBCUniversal's global regulatory and legislative agenda, including the company’s worldwide anti-piracy efforts. Cotton reports to both Steve Burke, chief executive officer of NBCUniversal, and Pat Fili-Krushel, executive vice president of NBCUniversal.
In January 2007 Cotton was named Chairman of the U.S. Chamber of Commerce cross-sector Coalition Against Counterfeiting and Piracy (CACP), which represents over 500 companies and associations who have come together to fight the vital economic battle against counterfeiting and piracy. He serves on the Steering Committee of BASCAP, Business Action to Stop Counterfeiting and Piracy, an arm of the International Chamber of Commerce dedicated to the enforcement and protection of intellectual property rights worldwide.
From 2000 to 2004, Cotton served as president and managing director of London-based CNBC Europe. Under his leadership CNBC Europe expanded its reach across Europe to 85 million homes; developed programming partnerships in Germany, Italy, Turkey, Russia, and the Middle East; and won brand recognition throughout the European business and financial communities.
Before joining CNBC Europe Cotton served as executive vice president and general counsel of NBC, a position he held for eleven years. From 1987 to 1989, Cotton was the president and chief executive officer of Washington-based management company HCX Inc. From 1980 to 1986, he was in private practice, specializing in health and environmental regulation, First Amendment and libel issues, and litigation in federal and state courts at the trial and appellate levels.
He was appointed the deputy executive secretary of the U.S. Department of Health, Education and Welfare under Secretary Joseph A. Califano in 1977 and was named the executive secretary in 1978. In 1980 he became the special counsel to Deputy Secretary John Sawhill of the U.S. Department of Energy. Prior to his government service, Cotton worked for two public interest legal organizations and taught law for a year at the Boalt Hall Law School at the University of California at Berkeley.
Cotton served as law clerk to Judge J. Skelly Wright of the U.S. Court of Appeals for the District of Columbia Circuit from 1969 to 1970 and to Justice William J. Brennan Jr. of the Supreme Court of the United States from 1970 to 1971.
After completing his undergraduate degree in 1965 at Harvard, Cotton joined Newsweek magazine as a correspondent in the Chicago bureau. In 1969 he graduated cum laude from the Yale Law School, where he was the executive editor of the Yale Law Journal. He lives in New York and has two children, Rachel and Jon.
Scott Davis
SVP & General Counsel
Sun Life Financial Inc.
Scott Davis is Senior Vice President and General Counsel for Sun Life Financial’s U.S. Operations. He was named to this position in 2007.
Mr. Davis joined Sun Life Financial’s legal department in 1995, and held a number of different positions before being named Vice President and General Counsel in 2004.
Prior to joining Sun Life Financial, Mr. Davis was an attorney with Latham and Watkins in Los Angeles, an attorney in the Boston office of McDermott, Will and Emery, and an Assistant Attorney General for the Commonwealth of Massachusetts.
Mr. Davis graduated from Georgetown University where he earned a Bachelor of Arts in Economics, and Cornell Law School from which he received his Juris Doctorate, cum laude. Mr. Davis lives in Winchester, Mass., with his wife, Anne Marie, and their three children.
Paul Delva
Senior Vice President, General Counsel and Corporate Secretary
Fairchild Semiconductor International
Paul D. Delva is Senior Vice President, General Counsel and Corporate Secretary of Fairchild Semiconductor International, Inc., a $1.6 billion global semiconductor device manufacturer. He received bachelor’s and master’s degrees from Concordia University and Purdue University, respectively, and his law degree from Temple University School of Law. Mr. Delva has advised Fairchild on corporate, mergers and acquisitions, securities and governance matters since 1997, joined the company as in-house counsel in 1999 and has been its general counsel since 2003. He was previously an associate at Dechert, Price & Rhoads (now Dechert LLP) in Philadelphia.
Marc Gary
Executive Vice President and General Counsel
Fidelity Investments
Marc Gary is the Executive Vice President and General Counsel of Fidelity Investments, one of the world's largest providers of financial services, including investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing, and many other financial products and services to more thank 20 million individuals and institutions. He heads a legal department of more than 200 legal professionals and serves as a member of the Fidelity Executive Committee.
Prior to joining Fidelity in 2007, Marc served as Executive Vice President and General Counsel of BellSouth Corporation, a Fortune 100 telecommunications company, where he also was a member of the Chairman's Strategic Options Council and chaired the company's Compliance Policy Board. During his seven years at BellSouth, Marc led a transformation effort that earned the BellSouth Legal Department recognition as one of Corporate Counsel Magazine's four best legal departments in the country in 2006.
Marc began his legal career in Washington, D.C., where he was a partner and co-head of the litigation practice of Mayer, Brown & Platt (now Mayer Brown LLP). From 1990 to 1992, he took a leave of absence from his firm to serve as Associate Independent Counsel in the federal Office of Independent Counsel where he investigated and procecuted criminal wrongdoing of Cabinet-level and other senior government officials.
Marc was electred a Fellow of the American Bar Foundation and a member of the American Law Institute. Among other professional and civic activities, he serves as the Vice Chair of Equal Justice Works, Co-Chair of the Georgetown University Law Center Corporate Counsel Institute, a member of the Executive Committee of Greater Boston Legal Services, a member of the Board of Directors of the National Chamber Litigation Center, and a member of the Advisory Board of the Rappaport Center for Public Interest Law.
Marc is the recipient of the Laurie Zelon Award for leadership in pro bono, diversity, and community service presented by the Pro Bono Institute. He also recieved a special commendation from the Georgia Supreme Court for his work as the first Chair of the Court's Access to Justice Committee.
Marc graduated from Northwestern University with Highest Distinction and Georgetown University Law Center, where he was an editor of the Georgetown Law Journal.
John Hicks
Director of Trial Consulting
DOAR Litigation Consulting
John Hicks, MS(r) is a social psychologist and trial strategy consultant. He has extensive experience creating comprehensive visual strategies, providing strategic recommendations, preparing witnesses, and conducting mock trials and focus groups.
In his role as a Director in the Trial Consulting practice, he is primarily responsible for the conceptualization and development of strategic analytical graphics for use during trial, hearings, and arbitrations. John specializes in making complex litigation more understandable and meaningful for Triers of Fact by distilling large volumes of case documents and complex case themes into simple, clear, persuasive trial graphics. He has created case-specific graphics in a wide array of matters but has a concentration in employment and labor matters, patent, securities litigation, and white collar matters.
Prior to joining DOAR, John used his expertise in psychology to develop political campaign materials and effective classroom presentations by incorporating many of the same persuasive communication techniques that he now uses in the courtroom.
John has played an integral role in numerous cases, including Velez et al. v. Novartis Pharmaceuticals, Armstrong et al. v. Whirlpool, Galvez v. Delgado, CEA v. CMO, Hexion Chemical Corp v. Huntsman Corporation and JP Morgan v. Bear Stearns.
Amy Hinzmann
SVP, NY Marketplace Director
DiscoverReady
Amy Hinzmann is a Senior Vice President of Discovery Strategy at DiscoverReady, LLC and leader of DiscoverReady’s Financial Services practice group.
Prior to joining DiscoverReady, Amy served as vice president and counsel for Merrill Lynch, Pierce, Fenner & Smith Inc. As counsel for Merrill’s brokerage business, Amy’s acted as liaison between the business side and outside counsel in customer arbitrations and litigations in the United States and Latin America, including management of document collection and supervision of discovery responses.
Amy also spent six months with Merrill Lynch International Bank in London, where she served as counsel to Merrill Lynch’s brokerage in Europe, the Middle East and Asia. In that role, Amy managed document production and email retrieval on a cross-jurisdictional investigation involving the SEC, Central Bank of Bahrain and Irish Financial Services Regulatory Authority.
Amy began her legal career as an attorney in the litigation group of Jenkens & Gilchrist PC (now Hunton & Williams LLP). Her litigation practice focused on the representation of brokerage firms before the NYSE and NASD. Amy is admitted to practice in Texas and New York.
Neal Hochberg
Senior Managing Director and Global Leader, Forensic and Litigation Consulting Segment
FTI Consulting
Neal Hochberg is a senior managing director and is the global leader of FTI Consulting Forensic and Litigation Consulting practice and is based in New York. Mr. Hochberg has more than 33 years of professional experience. For the last 20 years, he has focused exclusively on accounting and forensic investigations, complex economic and financial matters in disputes and matters involving financial reporting, internal investigations, securities derivative, FCPA and 10(b)(5) claims. He also has extensive expert witness testimony experience, has served as an arbitrator, mediator and in court appointed roles as independent panel and special master.
Mr. Hochberg has worked extensively with outside counsel in representing boards and special committees in independent and internal investigations, securities derivative and 10(b) (5) claims, FCPA and other matters.
Mr. Hochberg’s forensic and financial investigation engagements include examinations into acquisition accounting, accounting irregularities and financial misreporting, purchasing and inventory diverting schemes, fraud and embezzlement, vendor "kick-back" schemes, banking and securities industry issues, and compliance issues for major multinational companies.
Mr. Hochberg’s relevant FCPA experience includes leading financial and forensic accounting investigations on a global basis in investigating allegations of inappropriate behavior and suspected violations of the FCPA by U.S. Corporations, their agents or partners and foreign executives of operating divisions. Matters investigated have included allegations centered around payments to officials of state owned enterprises, tax authorities and others through Joint Venture partners, agents and other third-party intermediaries.
Mr. Hochberg’s career includes service as a forensic and litigation partner at two of the Big 4 accounting firms and as an audit partner at another international accounting firm. In addition he was an executive vice president, chief financial officer and member of the board of a diverse manufacturing company.
Mr. Hochberg holds a B.S.B.A. from the University of Florida with honors. He is a Certified Public Accountant licensed in the state of Florida and a Certified Fraud Examiner. Mr. Hochberg is a member of the American Institute of Certified Public Accountants, Florida Institute of Certified Public Accountants and the Association of Certified Fraud Examiners.
John Huber
Senior Managing Director
FTI Consulting
John Huber joined FTI Consulting as a senior managing director in the Forensic and Litigation Consulting segment effective February 1, 2011. He will be based in Washington, DC and Chicago, IL. Mr. Huber will provide consulting services and expert witness testimony in the areas of securities offerings, strategic transactions, corporate disclosure, restatements, internal control over financial reporting and corporate governance.
Prior to joining FTI Consulting, Mr. Huber was a senior partner of Latham & Watkins, LLP where he counseled companies and investment banking firms on securities offerings, tender offers and mergers. He also advised companies, audit and compensation committees on a broad range of securities regulation issues, including securities law, accounting, restatements, internal control over financial reporting and corporate governance.
Mr. Huber is the former director and deputy director of the U.S. Securities and Exchange Commission’s (SEC) Division of Corporation Finance. During his 11 years at the SEC, he was responsible for the Division’s rule-making program for the integrated disclosure system, shelf registration, going private and the first permanent rules governing tender offers. He supervised the Division’s review and comment process of filings by public companies.
Mr. Huber is an editor of The Practitioner’s Guide to the Sarbanes-Oxley Act, published by the American Bar Association. He is a former chairman of the ABA’s Subcommittee on Securities Registration and the ABA’s Task Force on Regulation FD as well as a former member of the NASD’s Corporate Finance Committee. Mr. Huber is a frequent speaker at securities law and accounting conferences.
Mr. Huber is listed in the 2011 Edition of Washington DC’s Best Lawyers survey in the Corporate Governance and Compliance Law, Mergers & Acquisitions and Securities Law categories. He was also named as one of the world’s leading practitioners in Corporate Governance by the International Who’s Who of Corporate Governance Lawyers 2010.
Professional Affiliations
District of Columbia Bar
New York State Bar Association
State Bar of Wisconsin
Education
LLM (Tax), Georgetown University Law Center
JD, University of Wisconsin Law School
BA, University of Wisconsin
Gene Killian
Partner
The Killian Firm
Admitted to the Bar in the States of New Jersey and New York, Gene Killian has repeatedly been named one of New Jersey's "Super Lawyers" by New Jersey Monthly magazine, as well as one of the Best Lawyers in America. He is rated "AV"® by Martindale-Hubbell. Recently, U.S. News and World Report named him one of the leading "Tier One" lawyers in New Jersey in the area of insurance law. He has also been selected as a Charter Fellow of the Litigation Counsel of America, which is an exclusive organization of elite trial attorneys. In addition to insurance law matters, Gene also helps clients facing employment law and complex commercial litigation issues.
Gene has served as lead trial counsel in numerous important cases, including Universal-Rundle Corp. v. Commercial Union Ins. Co. (redefining the parameters of insurance coverage for environmental matters), New Jersey Manufacturers v. Flemington Fur (establishing insurance coverage for allegations of workplace harassment), and LaSalle National Bank v. Koziol (enforcing liquidated damages provisions in commercial loan documents). He frequently serves as a Court-approved mediator.
He also has structured complex settlements in a variety of business disputes, including insurance matters and other commercial contract cases.
Gene is a Member of the Executive Committee of the New Jersey-Pennsylvania Chapter of TechAmerica (the nation's preeminent trade association for high tech companies), and an active member of the New Jersey Bar Association's Pro Bono Military Assistance Project.
He obtained his bachelor's degree cum laude from the University of Chicago in 1982, and his law degree from the University of Michigan in 1985. He is a member of the New Jersey, New York and American Bar Associations.
Gene may be reached at 732-912-2100 or ekillian@tkfpc.com.
Phil Livingston
CEO, LexisNexis Marketing and Business Solutions
LexisNexis
Phil Livingston has extensive experience as an operating executive and board member. As CEO of LexisNexis Marketing and Business Solutions, he leads the division that provides marketing services and analytics for law firms, as well as tools to help corporate counsel reduce risk in hiring counsel, collaborate online, manage expenses and increase productivity. The division includes martindale.com®, one of the most frequently used resources for lawyer and law firm information on the Web, martindale.com® Connected, a global online networking and collaboration community specifically for legal professionals, and CounselLinkTM, an integrated solution to help corporate counsel oversee matters, manage costs and improve collaboration with outside counsel.
Livingston was President and CEO of Financial Executives International (FEI) from 1999 to 2003. FEI is the preeminent association for senior financial executives acting as an advocate to regulators and legislators. In this role he had significant participation in formulation and passage of the Sarbanes Oxley Act of 2002 giving formal testimony to the House Financial Services Committee and directly authoring sections 406 and 407 regarding ethical codes of conduct for corporate financial officers and audit committee financial experts. He also attended the White House bill-signing ceremony.
He has appeared on Moneyline with Lou Dobbs, CNBC’s Wake Up Call and Power Lunch as well as Nightly Business Report from PBS. Livingston is widely published including “Test your Financial Literacy” – Directors & Boards; “Financial Management after Enron” – Bank Accounting & Finance; “The Value of Stock Options”, “American Governance Laws Need Fixing” – both pieces for the Op Ed page of the Financial Times.
From 2003 to 2005 he was Chief Financial Officer and Director of World Wrestling Entertainment. Prior to joining FEI, Livingston served as CFO of Catalina Marketing Corporation, a supplier of electronically-targeted marketing services for the consumer packaged goods industry.
Before joining Catalina, Livingston was CFO of Celestial Seasonings, where he successfully managed the company’s initial public offering and debt refinancing in 1993. His early career included positions in financial management and auditing with Genentech, Inc. and Ernst & Young, where he earned his CPA. He received an MBA from the University of California, Berkeley and both a BS and a BA from the University of Maryland.
Prior to entering the business world, Livingston played offensive tackle as a member of the 1981 Super Bowl Champion Oakland Raiders. He is a past member of both advisory councils to the U.S. and International Financial Accounting Standards Boards (IASB and FASB). He is a member of The Economic Club of New York. Phil and his wife Karen have three children, Sarah, Scott and Cindy.
Joe Looby
Senior Managing Director
FTI Consulting
Joe Looby is a senior managing director in the FTI Technology segment, delivering consulting expertise and advanced technology for investigations, antitrust and complex litigation matters, and is based in New York. He has provided expert testimony and consulting on economic and technology issues and appeared before regulatory agencies on diverse matters. Mr. Looby has spoken and written extensively on eDiscovery, technology, and forensics.
Mr. Looby is a contributing author and lecturer at The Sedona Conference, for projects including: Search & Retrieval Sciences; and, Achieving Quality in eDiscovery. Joe has also participated in studies on search technology effectiveness, sponsored by the National Institute of Standards and Technology (NIST) and DOD Advanced Research and Development Activity (ARDA). He has diverse industry experience, and most recently served as the Trustee’s declarant in United States Bankruptcy Court matter SIPC v. Bernard L Madoff Investment Securities, LLC.
Mr. Looby is a former U.S. Navy JAG Lieutenant, an experienced regulator, and is the patented co-inventor of the “system, software and method for examining a database in a forensic accounting environment.” Joe has a B.A. in economics from Fordham University and a J.D. from Union University School of Law. He is a certified fraud examiner, a member of the Association of Certified Fraud Examiners and is licensed to practice law in New York and Connecticut.
Bill Mariano
Director Northeast Electronic Discovery
Applied Discovery Inc.
Bill Mariano is an attorney and director of electronic discovery at Applied Discovery. In his role, Mr. Mariano works from the New York and Washington D.C. offices with Fortune 500 corporations and AmLaw 100 law firms in the northeastern United States to help clients improve their strategies for handling complex discovery matters while creating greater cost and control efficiencies throughout the discovery process.
Before joining Applied Discovery, Mr. Mariano served as a senior internet business development consultant for a Fortune 100 communications company. In this role, he coordinated strategic relationships with other Fortune 100 companies and spoke on the emerging internet medium as a vehicle to advance a company’s message to a global market.
Mr. Mariano also previously practiced law for 5+ years with a focus on securities litigation and investigations. As part of his practice, he gained experience managing document reviews on Concordance and various Web-based solutions.
Mr. Mariano earned his J.D. from Seton Hall University School of Law, where he graduated cum laude and a B.A. in Business from the State University of New York at Oneonta, where he graduated with honors.
Mr. Mariano works as a guest trial advocacy instructor at Seton Hall University where he teaches students how to leverage technology in practice. He is also a frequent presenter and author on a variety of topics including: How to Develop an Electronic Discovery Action Plan; The FRCP Amendments: Dealing with Electronic Discovery; Emerging Case Law in Electronic Discovery; and Leveraging Technology to Reduce Discovery Costs.
Kevin McCarthy
Executive Vice President and Deputy General Counsel
BNY Mellon
Mr. McCarthy is Deputy General Counsel and Global Head of Litigation and Regulatory Enforcement for The Bank of New York Mellon (“BNYM”). In that capacity, Mr. McCarthy is responsible for all litigation and regulatory issues involving BNYM. Prior to joining BNYM in September 2010, Mr. McCarthy was General Counsel of Cowen Group, Inc. Previously, Mr. McCarthy was a partner at Wilmer Cutler Pickering Hale & Dorr in New York. Prior to joining Wilmer, Mr. McCarthy was at Credit Suisse First Boston, where he served in various capacities including as a Managing Director and Global Head of Litigation. He began his legal career at Willkie Farr & Gallagher. Mr. McCarthy received his law degree from Albany Law School of Union University and his undergraduate degree from Siena College.
Sarah O'Connor
SVP, Strategic Development & Chief Legal Officer
Arch Chemicals, Inc.
Sarah A. O’Connor is Senior Vice President, Strategic Development and Chief Legal Officer of Arch Chemicals, Inc. (NYSE: ARJ), a global Biocides company with annual sales of over $1 billion. Ms. O’Connor is responsible for all legal matters involving Arch Chemicals and its foreign and domestic subsidiaries. She is also responsible for the Company’s strategic planning and development activities as well as enterprise risk management and government affairs relations.
Ms. O’Connor joined Olin Corporation in 1989 as an associate counsel in the Law Department, having responsibility for legal matters in the water chemicals business. As a member of the Law Department, Ms. O’Connor assumed increasing levels of responsibility for legal matters associated with the specialty chemicals businesses. In March 1995, Ms. O’Connor became Director, Planning and Development, responsible for the identification and implementation of profitable growth opportunities and the structure and negotiation of acquisitions, divestitures and joint ventures. She played a key role in Olin’s spinoff of Arch Chemicals.
At Arch, Ms. O‘Connor has had responsibility for a number of corporate functions, including regulatory affairs. She was instrumental in Arch’s acquisition of Hickson International, PLC and subsequent integration and divestiture activities. As General Counsel, she has managed complex litigations and settlements and led the Company‘s multi-disciplinary defense of its chromated copper arsenate (CCA) products.
Earlier in her career, Ms. O’Connor was employed as a senior attorney by the Reader’s Digest Association, Inc. She previously worked in the Law Department of American Home Products Corporation.
Ms. O’Connor received a Bachelor of Science degree from Mercy College. She also earned a Juris Doctor degree from Fordham University School of Law and a Master of Business Administration degree from Columbia University.
Ms. O’Connor is a member of the American Bar Association, the Westchester/ Southern Connecticut American Chapter of the Corporate Counsel Association
(WESFACCA) and the Society of Corporate Secretaries and Governance Professionals. She is also a member of the Advisory Board to the Mercy College School of Business. Ms. O’Connor is admitted to practice in the state of New York and is certified as Authorized House Counsel in the state of Connecticut.
Ms. O’Connor is located at Arch Chemicals’ headquarters in Norwalk, Connecticut.
Jerry Okarma
VP, Secretary & General Counsel
Johnson Controls, Inc.
Mr. Okarma is Vice President, Secretary and General Counsel of Johnson Controls, Inc., a $35 billion (revenues) global market leader in automotive systems, facility management and control and power solutions, located in Milwaukee, WI. He is a member of the Company’s Executive Operating Team, and oversees all legal activities of the company. In addition to leading the Law Department, he is responsible for the oversight of the Shareholder Services, Enterprise Security and Aviation functions. He joined the company in 1989, and had previously served as group vice president and general counsel for each of the Company’s operating groups.
Prior to joining Johnson Controls, Inc., Mr. Okarma served as Assistant Secretary and Senior Attorney at Borg-Warner Corporation, Chicago, IL, from 1982-1989, and as Attorney at Inland Steel Company, Chicago, IL, from 1977-1982.
Mr. Okarma received his Juris Doctor degree from Northwestern University School of Law, Chicago, IL, in 1977 and his B.A. (History) with Honors from Western Illinois University, Macomb, IL, in 1974. He is admitted to practice in the courts of both Wisconsin and Illinois.
He is a frequent speaker on legal and corporate governance issues, and is a member of the Society of Corporate Secretaries and Governance Professionals, The Conference Board Council of Chief Legal Officers and the Association of Corporate Counsel, having previously served as the Chair of the Wisconsin Chapter.
William P. Olsen
Principal, Forensic Accounting and Investigation Services Practice Leader Advisory Services
Grant Thornton LLP
Bill Olsen is a principal and practice leader of the Forensic, Investigation and Litigation Services practice for the Mid-Atlantic market of Grant Thornton. He is also the National Practice leader for Investigations.
Bill is a former member of the Special Prosecutions section NJ Attorney General’s Office and the Global Security Manager for a Fortune 500 company. He was with Arthur Andersen prior to joining Grant Thornton. Many of his engagements have included matters involving the False Claims Act, RICO and Foreign Corrupt Practices Act.
Bill has performed numerous investigations involving organized crime, business corruption and management fraud. Many of these investigations involved the preparation of complex financial information and forensic analysis for legal counsel. He has also performed due diligence investigations for clients considering mergers and acquisitions or seeking regulatory approval
Bill has assisted clients in retrieving and analyzing data to investigate allegations of fraud and/or to gather evidence in response to legal disputes and government subpoenas. He has testified in grand jury proceedings, depositions and criminal trial proceedings.
Bill has consulted with several Global 1000 clients in developing comprehensive anti-fraud, anti-corruption and anti-money laundering programs. These engagements have often involved performing fraud risk assessments, compliance reviews and forensic audits..
He has recently authored a book titled the “Anti-Corruption Handbook” and is a frequent speaker on Global Corruption matters.
Industry experience
Construction • Defense • Health Care
Gaming and Hospitality • Telecommunications
Not-for-Profit • Government Contractors
Professional qualifications and memberships
- Association of Certified Fraud Examiners
- Association of Government Accountants
- Institute of Internal Auditors-Gaming and Money laundering committee
Education
Bachelor of Arts, Sociology, Villanova University
Bachelor of Science, Accounting, Regis University
David Rowan
Chief Legal Officer
Cleveland Clinic
David W. Rowan has served as Chief Legal Officer and Secretary of the Cleveland Clinic since June 2005. In 2006 he was also appointed as its Chief Governance Officer and serves on the Clinic’s Board of Governors. From 1995 to 2005, Mr. Rowan served as General Counsel and Secretary of the Cleveland Clinic while remaining a partner in Squire, Sanders & Dempsey, LLP. Mr. Rowan received his J.D. magna cum laude from Georgetown University Law Center in 1978 and a B.A. summa cum laude from the University of Toledo in 1975. Mr. Rowan joined the law firm of Squire, Sanders & Dempsey, LLP upon graduation from law school and became a partner in 1987. Mr. Rowan served on the Squire, Sanders & Dempsey Management Committee from 1993-1996. He left Squire, Sanders to become the Chief Legal Officer of the Cleveland Clinic in 2005. The 30 attorney law department is responsible for all legal matters of the Cleveland Clinic and its Health System.
Thomas Sabatino
Executive Vice President - General Counsel, Corporate Secretary
Walgreen Co.
Speaker bio coming soon...
Greg Schuetz
Vice President & General Counsel
The Linde Group
Greg Schuetz is Vice President and General Counsel for The Linde Group, responsible for Global Litigation and Dispute Resolution. Linde is a leading worldwide supplier of industrial gases and engineering services based in Munich, Germany. Greg is located at Linde’s North American headquarters in Murray Hill, New Jersey. He supervises major litigation matters involving Linde entities worldwide.
Before joining Linde in December 2008, Greg was Senior Staff Counsel – Product Liability for Chrysler LLC in Auburn Hills, Michigan, where he managed seat litigation throughout the United States and supervised the defense of all international product liability matters involving Chrysler, Jeep and Dodge vehicles. At Chrysler, Greg also coordinated various cross-company litigation issues involving Mercedes-Benz vehicles with Daimler AG attorneys in Stuttgart, Germany.
From 1993 to 1999, Greg worked for the litigation firm of Feeney Kellett Wienner & Bush in Bloomfield Hills, Michigan. His practice focused on automotive product liability defense, commercial litigation, premises liability and white collar criminal defense.
Greg began his legal career in 1990 as an Assistant United States Attorney in Detroit, where he prosecuted a wide variety of federal crimes, including firearms offenses, narcotics violations, bank robberies, counterfeiting, interstate theft, fraud and immigration offenses. He tried over 18 cases to jury verdict and argued numerous appeals to the U.S. Court of Appeals for the Sixth Circuit. Greg joined the U.S. Attorney’s office directly from a judicial clerkship with United States District Judge William G. Young in Boston.
Greg received his J.D. from Harvard Law School in 1989 and his B.A. from Kalamazoo College in 1984. Between college and law school, he also studied at the Universities of Bonn and Freiburg in Germany under a scholarship from the Hanns-Seidel Foundation. Greg speaks fluent German.
Bart Schwartz
EVP, Chief Legal Officer & Secretary
Assurant, Inc.
Bart Schwartz is Executive Vice President, Chief Legal Officer and Secretary of Assurant, a premier provider of specialized insurance products and related services in North America and selected other markets. Mr. Schwartz has overall responsibility for the legal affairs of Assurant, Inc. and its subsidiaries, and supervisory responsibility for Assurant’s compliance, legal, regulatory and government relations staff.
Mr. Schwartz joined Assurant in April 2008. He previously served as Chief Corporate Governance Officer and Secretary of The Bank of New York Company Mellon Corporation, Deputy General Counsel and Corporate Secretary of Marsh & McLennan Companies, Inc., General Counsel and Senior Vice President of The MONY Group Inc., and Senior Vice President, General Counsel and Secretary of Willis Corroon Corporation.
Mr. Schwartz began his legal career in 1978 with Debevoise & Plimpton in New York and later joined the Los Angeles office of Skadden, Arps, Slate, Meagher & Flom. He holds a J.D. from the University of Southern California School of Law and an MBA from the Owen School of Management at Vanderbilt University.
Mr. Schwartz is a frequent writer and speaker on corporate governance, securities law, mergers and acquisitions and other corporate law topics. He is General Editor and a principal author of the two-volume treatise Corporate Governance: Law and Practice (Lexis/Nexis Matthew Bender, 2005, with annual updates).
Mr. Schwartz lives in New York City and has two children, a daughter in college and a son in high school.
Assurant, a Fortune 500 company, is traded on the New York Stock Exchange under the symbol AIZ.
Jonathan D. Shaman
Senior Director
First Advantage Litigation Consulting
Jon brings unique practical experience managing all aspects of large-scale, complex matters from the legal, project management and IT perspectives, allowing him to bridge multiple departments at First Advantage Litigation Consulting. In addition to heading up our Managed Review service offering, Jon trains clients on Global RPM, our proprietary review and production management platform, consulting with them on review priorities and goals. Working closely with the Project Management team, he helps translate the clients’ objectives into efficient workflows for review and production. He also draws on his expertise in cost-effective data reduction and search strategy to conceptualize and prioritize new feature development.
Prior to joining First Advantage Litigation Consulting, Jon was a practicing litigation attorney for thirteen years, eleven of those with the boutique firm Constantine Cannon LLP where he was a Senior Associate and the firm’s Director of Technology and Information Systems. The national antitrust and commercial litigation practice at the firm specialized in numerous high-stakes cases involving massive discovery and complicated jury trials. Jon developed a litigation and trial support consulting practice for Constantine & Aborn Advisory Services LLC, and was instrumental in enabling the firm to handle some of the largest antitrust cases in U.S. history, including the Debit Card, Time Warner v. Liberty, and Discover v. VISA/MasterCard cases.
Jon earned his J.D. at the New York University School of Law. He is admitted to practice in the New York State courts, and the Eastern and Southern Districts of New York.
David Silverman
SVP, General Counsel
Global Tel*Link Corporation
David Silverman is responsible for managing legal and regulatory affairs for GTL. David joined GTL from Acceris Communications Corp., a national competitive local exchange carrier specializing in VOIP services, where he served as general counsel and counselor to its parent, Toronto-based Counsel Corporation. Prior to Acceris, he served as corporate counsel and director of legal affairs for XO Communications, a national communication services provider. At XO, he was responsible for matters related to the company´s technology, licensing, litigation, and general commercial and corporate transactions. David also practiced law at Wiley, Rein and Fielding, in Washington D.C. law, where he represented a national client base before the FCC and state utility commissions on telecommunications matters ranging from mergers and acquisitions to licensing, and enforcement actions. Prior to practicing law, Mr. Silverman was a reporter and editor for the Chicago Tribune, where he was a recipient of the 1994 Robert F. Kennedy Award for public service journalism. Mr. Silverman is a member of the bars of the State of Illinois and the District of Columbia and is a member of the Federal Communications Bar Association, the American Bar Association, District of Columbia Bar Association, Illinois State Bar Association and American Corporate Counsel Association.
Daniel Tyukody
Partner, Securities Litigation
Orrick Herrington & Sutcliffe, L.L.P.
Daniel Tyukody, a partner in the Los Angeles office, is a member of the Securities Litigation Group. Mr. Tyukody's practice focuses on defending underwriters, issuers and individual officers and directors in securities class actions, derivative cases, "M&A" cases and SEC proceedings. Mr. Tyukody has also represented the audit committees or special committees of Fortune 500 companies conducting special investigations.
Mr. Tyukody has been named as one of the "Top 500 Lawyers In America" by Lawdragon magazine from 2007-2010, and one of the "Top 500 Litigators In America" (2006). Mr. Tyukody was also named as one of the "Top Securities Litigators in California" by the Daily Journal. He was lead trial counsel and obtained a complete defense verdict in June 2005 in Miller v. Thane, one of only a dozen securities class action lawsuits tried to verdict since 1995. This case was named one of the "Top Ten Defense Verdicts" in California by the Daily Journal and was recently upheld by the Ninth Circuit.
Shabbir Wakhariya
Partner
Kelley Drye & Warren
Shabbir Wakhariya is a partner in the firm’s New York office and founding member of an independent law firm in India with whom the firm is affiliated. Mr. Wakhariya’s practice has a dual focus – New York and India. In New York, he advises clients on commercial litigation and international arbitration. In India, he advises clients on commercial litigation, arbitration, investment regulations, telecommunication laws and regulations and corporate compliance.
Mr. Wakhariya has represented companies in the fields of pharmaceuticals and vaccines, telecommunications and IT, media and entertainment, hospitality, financial services, metals and mining, civil aviation and aerospace.
Bar Admissions
New York, 1992
India, 1993
England and Wales, 1997
Education
Duke University School of Law, U.S.A.
LL.M, 1991
Government Law College
University of Bombay, India
LL.B, 1990
St. Xavier’s College
University of Bombay, India
B.A., 1987
Date: Wednesday, March 9, 2011
Time: 8:00am – 6:20pm
Location: New York, NY
*Event location will be disclosed to attendees upon completion of the registration process.
- Meeting Overview
- Agenda
- Program Director
- Speaking Faculty
- Member Advisory Board
- Partners
- Support the Meeting
- Participation Requirements
- Member Substitution Policy
- Travel and Other Information
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