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PLI's Ethics Programs: Summer 2014

Author(s): Katie M. Lachter, C. Evan Stewart
Practice Area: Banking, Corporate & Securities, Ethics/Professional Responsibility
Published: Jul 2014
PLI Item #: 49894
CHB Spine #: F253

Katie Lachter focuses her practice on attorney professional responsibility and risk management. She represents lawyers and law firms with respect to all aspects of legal ethics and the law governing lawyers. Having previously practiced for eight years as a litigator in both civil and criminal cases, Ms.

Lachter is skilled in identifying potential problems before they arise and advocating on her clients' behalf. She is also a national award-winning writer and a frequent speaker on professional responsibility issues.

Ms. Lachter's practice includes:

  • Disciplinary defense
  • Bar admissions and reinstatements
  • Sanctions and contempt proceedings
  • Fee disputes
  • Disqualification and withdrawal motions
  • Attorney-client privilege and confidentiality issues
  • Conflicts of interest
  • Attorney advertising
  • Law firm risk management
  • Legal malpractice actions

Professional Background

Prior to joining Hinshaw & Culbertson in February 2011, Ms. Lachter was an associate in several leading New York law firms, including the renowned litigation department at Paul, Weiss, Rifkind, Wharton & Garrison, where she worked on matters for the firm's largest client. From 2003–2004, she was a law clerk to the Honorable Bruce W. Kauffman, U.S. District Court, Eastern District of Pennsylvania

Professional Affiliations

  • New York City Bar Association, Committee on Professional Ethics, Member
    • 2009–2011, Secretary
    • 2011–Present 
  • Practising Law Institute, Faculty Member (2010–Present)
  • Association of Professional Responsibility Lawyers (APRL) Member (2011–Present)
  • New York Women's Bar Association, Ethics Committee, Member (2013–Present) 

Honors & Awards

  • 2012 recipient of the Burton Award for Distinguished Legal Writing
  • Legal Aid Society’s 2009 Pro Bono Publico Award, 2009


  • "#SocialMediaEthics," Legal Malpractice & Risk Management Conference, Chicago, Illinois, March 2016.
  • "Five Common Attorney Mistakes to Avoid," webcast, West LegalEdcenter, January 2016.
  • "The Perils of Multijurisdictional and Cross-Border Practice," Legal Malpractice & Risk Management Conference, Chicago, Illinois, February 2015.
  • "(Don't) Just Bust a Move: What Lawyers and Law Firms Need to Know About Lateral Movement," West LegalEdcenter live webcast, September 2014.
  • "Stump the Panel," Legal Malpractice & Risk Management Conference, Chicago, Illinois, March 2014.
  • "Ethical Considerations in False Claims Act Cases," New York State Bar Association, New York, New York, December 2013.
  • "Other People’s Money: Handling Client Funds and Escrow Accounts," CLE presentation, New York Women's Bar Association, September 2013.
  • "Litigation Funding," Legal Malpractice & Risk Management Conference, Chicago, Illinois, March 2013.
  • "Ethics in the Electronic Age: Be Careful When Using That Smart Phone, Blackberry, Tablet, Blog, Social Network . . ." New York City Bar Internet & Consumer Law series, New York, New York, June 2012.
  • "IP Lawyer Ethical Issues," Intellectual Property Law Institute 2011, New York, New York, September 2011.
  • "Playing Smart: Civility and Professionalism," Association of Professional Responsibility Lawyers (APRL) Annual Meeting, Toronto, Ontario, August 2011.
  • "Ethics for Business/Transactional Lawyers," New York State Bar Association seminar, Uniondale, New York, June 2011.
  • "What Every Attorney Must Know About Ethics, Parts I and II," at the Practising Law Institute, New York, New York, August and December 2010.


  • Co-author of "E-data and the 'All Records' Exception," published by Law360, March 2011.
  • Editor-in-Chief of the Ethics FAQ page on the Bar of the City of New York’s Ethics Committee webpage.


Central Park Conservancy, member

Service Areas

Lawyers for the Profession®
Professional Liability
Counselors for the Profession®
Litigators for the Profession®


J.D., cum laude, Harvard Law School, 2003

  • Editor, Journal on Legislation

B.A., summa cum laude, Government, Dartmouth College, 2000


New York

U.S. District Court for the Eastern District of New York

U.S. District Court for the Southern District of New York

U.S. District Court for the Western District of New York

Mr. 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.

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 and has published over 200 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.

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 Stanford 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.