Mitigating the Impact of Dodd-Frank's

Mitigating the Impact of Dodd-Frank's

SEGMENT 1:
Kenneth B. Winer, Partner (Former Senior Counsel & Branch Chief, SEC Division of Enforcement), 
Foley & Lardner LLP

• Whistleblower rules increase risk that the SEC will detect violations of the federal securities laws.
• Whistleblower bounty rules increase the importance of ensuring that your company’s internal compliance processes are effective.
• Whistleblower bounty rules also increase importance of ensuring that your company has procedures in place that will enable it to:
  • follow up promptly on evidence of a material violation of the federal securities laws
  • provide comfort to internal whistleblowers that your company has responded effectively to the whistleblower’s complaint

SEGMENT 2:
Jonathan L. Sulds, Shareholder & Co-Chair, Labor & Employment Practice, 
Greenberg Traurig LLP

• The Dodd Frank whistleblower rules call for taking a company's cultural inventory
• Effective compliance programs and internal complaint procedures are key to risk mitigation
• Dodd Frank retaliation rules have real teeth
• Whistleblower rules increase risk that the SEC will detect violations of the federal securities laws.
• Whistleblower bounty rules increase the importance of ensuring that your company’s internal compliance processes are effective.
• Whistleblower bounty rules also increase importance of ensuring that your company has procedures in place that will enable it to:
  • follow up promptly on evidence of a material violation of the federal securities laws
  • provide comfort to internal whistleblowers that your company has responded effectively to the whistleblower’s complaint

SEGMENT 3:
Jacob S. Frenkel, Chairman, Securities Enforcement, White-Collar Crime and Government Investigations Practice (Former SEC Enforcement Lawyer) , 
Shulman, Rogers, Gandal, Pordy & Ecker, P.A.

• Mandatory nature of the award can wreak havoc on corporate compliance programs and undermine significant advances in corporate compliance and programs
• Creates cultural challenges, such as favoring a "silo mentality," within corporations and legal challenges, such as managing the "attorney-client privilege" for corporations
• Requires new approaches for corporations in dealing with employees and third parties
• SEC does not have the staff to field adequately the whistleblower claims and already has demonstrated a reluctance to close investigations

SEGMENT 4:
Richard Vestuto, Esq., Vice President – Client Advisory Services, 
Merrill Corporation

• Enhancing legal protection through the Development & Implementation of Comprehensive eDiscovery Protocols
• How to effectively preserve data and documents if you're hit with a Whistle Blower suit
• How to approach the 26(f) Meet & Confer in a Whistle Blower suit
• Early Case Assessment and data forensics technologies and their use in Whistle Blower litigation

Mitigating the Impact of Dodd-Frank's

Jonathan L. SuldsShareholder & Co-Chair, Labor & Employment PracticeGreenberg Traurig LLP

Jonathan L. Sulds is a shareholder in Greenberg Traurig’s New York office and co-chair of the firm’s Labor & Employment and Global Human Capital Solutions Practices. He has represented employers in virtually every aspect of their engagement, protection, management and reward of workforce resources. He currently also captains the firm’s working group on Dodd Frank compliance issues. In addition, Jon is experienced in the areas of collective bargaining and traditional labor relations, Employee Retirement Income Security Act (ERISA) litigation, wage and hour matters, discrimination complaints, restrictive covenant, duty of loyalty and trade secret litigation.

Jon received his J.D. from Harvard Law School and his M.A. and B.A. from Colgate University. He has been listed in Chambers and Partners USA Guide, an annual listing of the leading business lawyers and law firms in the world, since 2007 and was selected by Super Lawyers magazine in 2009 and 2010. A frequent lecturer and writer, Jon authors New York Employment Law, a treatise that is updated annually.

Kenneth B. WinerPartner (Former Senior Counsel & Branch Chief, SEC Division of Enforcement)Foley & Lardner LLP

Jacob S. FrenkelChairman, Securities Enforcement, White-Collar Crime and Government Investigations Practice (Former SEC Enforcement Lawyer)Shulman, Rogers, Gandal, Pordy & Ecker, P.A.

Richard Vestuto, Esq.Vice President - Client Advisory ServicesMerrill Corporation

Richard Vestuto provides national leadership to Merrill’s Client Advisory Services. He is responsible for providing legal insight, best practices guidance, and other technology based litigation strategies. Working with top law firms and corporate clients, he has developed eDiscovery Response Plans, eDiscovery Strategies, Litigation Hold policies, Document Retention audits, Early Case Assessment strategies, and Preservation / Data Acquisition plans.

Clients have engaged his services for Meet & Confer consulting and Rule 36(b) deposition preparation and participation. He also has served as an expert witness on numerous occasions and in numerous jurisdictions; testifying and/or drafting affidavits and similar court submissions attesting to validity of searches, forensic investigation procedures and findings, eDiscovery procedures, spoliation issues and other electronic discovery findings and procedures. He has had extensive experience in Cross Border Litigation involving EU and other international data privacy restrictions

Vestuto has spent the last 15 years in the legal and technology space has a client clist consisting of many of the AmLaw 200 as well as dozens of Fortune 1000 corporations. Vestuto has a Bachelors Degree in Communication Arts and attended Fordham University’s Graduate School of Business where he studied Media Management. He earned a Juris Doctorate at Touro Law School and is admitted to practice in New York State.

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