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Government Investigations 2014: The Expanding Role of Electronic Information in Investigation and Response


Speaker(s): Ariana J. Tadler, Christine M. Ryall, David C. Shonka, Deborah Morris, Hon. Jed S. Rakoff, Ignatius A. Grande, Jeane A. Thomas, Manfred J. Gabriel, Maura R. Grossman, Ronald J. Hedges, Valerie A. Szczepanik
Recorded on: Mar. 24, 2014
PLI Program #: 51098

“Working for consumers and investors who have suffered a financial loss or wrong has been very appealing to me.  Doing what I can to rectify some of the inequities in the lives of individuals or groups of people is gratifying, particularly in very large, complex cases.  .  .  .   I also enjoy cases that are not just about the recovery of monies lost but that also play a role in changing practices that companies engage in that are unfair to consumers and investors.” —Ariana J. Tadler, Lawdragon 500

In the often opaque and self-interested world of corporate decision-making, Ariana J. Tadler is an antidote—a “leading light” helping individual consumers and institutional investors expose corporate misconduct and secure multimillion- and multibillion-dollar recoveries.  A nationally recognized member of the plaintiffs’ bar, Ariana has 20+ years of experience litigating and managing the full spectrum of complex securities and consumer class actions, including high-profile, fast–paced cases.

Ariana is also renowned for being one of the nation’s leading authorities on electronic discovery in plaintiffs’ litigation—an area she and Milberg helped pioneer.  She chairs Milberg’s E-Discovery Practice Group, has authored numerous publications on E-Discovery, and is regularly invited to speak on a variety of litigation- and discovery–related topics to educate the bench and bar.  Ariana is actively involved in the development of the law and best practices, including amendments to the Federal Rules of Civil Procedure and various pilot programs. 

An AV® Preeminent rated (Martindale Hubbell’s highest rating) lawyer, Ariana has been recognized by several prominent legal industry rating organizations, including 2014 Chambers USA: America’s Leading Lawyers for Business as “a leading light in the plaintiffs’ Bar” and a “fearless and tenacious” advocate who wins praise for her in-depth e-discovery knowledge and efficient approach.   Clients also praise her ability to “navigate all the e-discovery issues.”  For four years in a row, Lawdragon included her in its select list of 500 Leading Lawyers in America, describing her as “one of the nation’s most talented plaintiff-side securities litigators” and crediting her with building Milberg’s “team of lawyers and technologists armed with the necessary hardware and software to provide a solid and reliable service.” Benchmark Litigation has also included her in its 2014 Top 250 Women Litigators in the U.S. and she was named in Super Lawyers 2014 “Top 50: Women Lawyers” in the New York Metro-area.

REPRESENTATIVE MATTERS

  • Steering Committee, In re Target Corporation Customer Data Security Breach Litigation. Representing consumers in a class action accusing Target Corp. of failing to protect customers from a massive data breach during the holiday shopping season.
  • Interim Lead Counsel, Frito-Lay North America, Inc. “All Natural” Litigation, In re ConAgra Foods, Inc., Bevans v. General Mills, Inc., and In re Kellogg v. General Mills.Representing classes of consumers in a series of cases involving the alleged misrepresentation of GMO food products as “all natural”; the cases involve front-line legal issues, cutting-edge discovery negotiations and complex disputes and motions.
  • Lead Counsel, Ener1 v. PricewaterhouseCoopers. Recently represented an alternative energy company in its claims of negligence against one of the Big 4 accounting firms.Case settled on confidential terms.
  • Co-lead Counsel, Ironworkers District Council of Philadelphia & Vicinity Retirement & Pension Plan v. Andreotti. Representing a pension fund in a stockholder derivative action brought on behalf of E. I. du Pont de Nemours and Company seeking relief due to the former and present members of DuPont’s board of directors’ and executive officers’ breaches of fiduciary duties, misrepresentations, and corporate waste relating to its infringement of Monsanto’s patent, which resulted in a trial and $1 billion judgment and involved an order for sanctions.
  • Special Discovery Counsel, Republic of Colombia, et al. v. Diageo North America, Inc. Represented the government of Colombia, serving as Special Discovery Counsel, in its pursuit of claims alleging smuggling and illegal sales of alcohol by several international companies for violation of United States RICO statutes and other common law claims.Engagement encompassed identifying relevant information responsive to defendants’ requests, confirming and guiding preservation practices, and interviewing and collecting data from more than 100 custodians in 23 Colombian Departments (Colombia’s equivalent to our States in the U.S.).Team also reviewed and produced data in the ongoing litigation, and was tasked with ensuring compliance with the various privacy laws of Colombia and the United States with regard to personal data, controlled data and the transfer of sensitive information -- all hot topics in the area of E-Discovery today.
  • Plaintiffs Liaison Counsel (court-appointed), Lead Counsel and Executive Committee Member, Initial Public Offering Securities Litigation. Represented investors in 300+ securities class actions alleging a market manipulation scheme involving hundreds of initial public offerings and 55 prominent defendant investment banks.Through aggressive litigation, plaintiffs’ counsel obtained a settlement totaling $586 million.This case is notable for the unique strategies that were employed to manage this mammoth litigation.Milberg was at the forefront of dealing with complex discovery issues and crafted innovative tools to streamline the process.As a member of the court-appointed Plaintiffs’ Executive Committee and as a court-appointed liaison counsel, Ms. Tadler oversaw the efforts of approximately 60 plaintiffs’ firms in combating some of the most well-respected defense firms in the nation.The case was so large and included such extensive discovery that it required its own off-site headquarters, including approximately 100 personnel from various firms dedicated solely to the prosecution of the matter and supervised and managed, in substantial part, by Milberg personnel.
  • Lead Counsel, In re MicroStrategy Securities Litigation, one of three cases litigated in the Eastern District of Virginia (a/k/a the “Rocket Docket”) in less than four years. Negotiated settlements valued at more than $150 million.

HONORS & RECOGNITIONS

  • ALM:Women Leaders in the Law (2014)
  • AVENUE Insider Legal Elite New York City’s Top Women Securities Law Attorneys (2011-2012)
  • Benchmark Litigation:Star (2015-2016)
  • Benchmark Plaintiffs’ Litigation: New York Litigation Star (2011-2014)
  • Benchmark Top 250 Women Litigator (2014)
  • Chambers Global Guide:Leading Lawyers in E-Discovery (2015)
  • Chambers USA 2015:Nationwide, Litigation: E-Discovery (2015)
  • Chambers USA: America’s Leading Lawyers for Business (2014)
  • Development School for Youth Honoree (2013)
  • Fellow of the Litigation Counsel of America
  • Lawdragon 500 (2009-13)
  • Manhasset Lacrosse Hall of Fame (2008)
  • Martindale Hubbell AV® Preeminent (highest rating)
  • MFY, Partners in Justice Award (2010)
  • Super Lawyers (2010-15)
  • Super Lawyers “Top 50 Women Attorneys in New York Metro Area” (2014-2015)
  • Super Lawyers “Top 100 Overall Lawyer in New York City” (2015)
  • The Fellows of the American Bar Foundation (2012)
  • Women's Venture Fund Highest Leaf Award (2011)

PROFESSIONAL & CIVIC ENGAGEMENTS

  • American Association for Justice, Member
  • American Bar Association, Member
  • American Bar Foundation, Fellow
  • Bloomberg BNA, eDiscovery Board of Advisors
  • Cardozo Data Law Initiative, Executive Director
  • Federal Bar Council, Member
  • Fordham Law Small to Midsize Law Firm Advisory Council
  • Georgetown University Law Center Advanced E-Discovery Institute, Advisory Board and Planning Committee Member
  • MFY Legal Services Inc., Board Member and Past Chair (2008-2010)
  • Milberg Client Development and Marketing Committees, Chair
  • Milberg Hiring, Diversity, Technology, and Women’s Committees, Member
  • National Association of Consumer Advocates, Working Member
  • National Association of Women Lawyers, Member
  • New York County Lawyers Association, Member
  • New York State Bar Association, Member
  • New York Women’s Bar Association, Member
  • Seventh Circuit, Electronic Discovery Pilot Program
  • Southern District of New York, Advisory Committee of the Judicial Improvements Committee
  • The New York Inn of Court, Vice President
  • The Sedona Conference® (the leading “think-tank” on e-discovery), Board of Directors; Chair Emeritus (and Past Chair, 2007-2012), Steering Committee for Working Group 1 on Electronic Document Retention and Production
  • WomenToKnow, Advisory Board

Education:

B.A., Hamilton College, 1989

J.D., Fordham University School of Law, 1992

Admitted:

New Jersey, 1992

New York, 1993


“A leading light in the plaintiff’s Bar”

Chambers USA 2014


David C. Shonka is the Principal Deputy General Counsel at the Federal Trade Commission.  He has twice served as the agency’s Acting General Counsel (January - June 2009 and October 2012 – June 2013).  He oversees the General Counsel’s Litigation, Legal Counsel, and Opinions & Analysis groups, as well as its FOIA, employment law, and Energy Counsel staff.  Mr. Shonka is also a member of the Administrative Conference of the United States, where he serves on the Committee on Judicial Review and the Council of Independent Regulatory Agencies.  He is also a member of the Steering Committee for Sedona Conference Working Group 1 (e-discovery and information governance), and is active in Sedona Working Groups 6 (cross-border discovery) and 11 (privacy and data security).  He previously served as the first chair of the FTC’s E-discovery Steering Committee, and is a recipient of the 2015 Presidential Rank Award of Meritorious Executive.

Mr. Shonka has been the FTC’s Assistant General Counsel for Litigation, an associate in a Washington D.C. law firm, and a litigator at the US Department of Justice.  During his FTC career, Mr. Shonka has advised the Commission on the full range of issues with which it deals, litigated federal court competition and consumer protection cases, tried cases in administrative proceedings, represented the Commission in appellate cases, and overseen the revision of the FTC’s Rules of Practice pertaining to investigations and administrative litigation.

Mr. Shonka frequently speaks on consumer finance, competition, privacy, data security, and e-discovery topics both in the US and abroad.  He has also been an instructor in various trial advocacy courses, and represented the Commission in technical assistance missions abroad.


Function and specialization

Member of the Forensic Advisory practice and specializes in forensic technology and electronic discovery.

Education, licenses & certifications

  • JD, Columbia Univ ersity School of Law
  • German Rechtsanwalt (attorney at law)
  • Admitted to practice in New York, Massachusetts, and Germany
  • Member of ABA, NY SBA

Professional and industry experience

Manfred J. Gabriel
is a Principal in KPMG’s Forensic Technology Services practice, where he focuses on electronic discovery. He provides clients with a wide range of services from enterprise-level e-discovery management to delivery on large, complex e-discovery projects. Manfred has many years of experience advising leading companies on various key areas including:

  • Responding to litigation e-discovery requests, including data identification and collection, data processing and hosting, and structuring document reviews, quality control, and document productions.
  • Advanced e-discovery workflows, with a particular focus on technology-assisted review or predictive coding, statistical sampling and statistical process control, as well as streamlining and integrating the various aspects of complex e-discovery projects.
  • Litigation readiness, litigation holds, and data preservation.
  • In addition, Manfred assists companies to put into place efficient systems and innovative technologies to control cost and risk in e-discovery.
As a former practicing antitrust attorney, Manfred has successfully assisted clients respond to large, fast-paced regulatory requests, such as Second Requests in merger investigations and CIDs. He has worked with Fortune 1000 companies in several industries, including high tech, transportation, pharmaceuticals, and financial services.


Ignatius Grande is Senior Discovery Attorney at Hughes Hubbard & Reed LLP. In his role at Hughes Hubbard, Mr. Grande advises case teams and clients on how to best leverage the latest technologies and e-discovery practices to efficiently guide matters from initial document preservation and collection through to review and production. By putting strategic processes in place, he helps clients manage their e-discovery obligations in the most efficient and cost effective manner. Mr. Grande also advises clients on the management of their social media presence and in the preservation and collection of social media information. Mr. Grande has represented companies in all areas of electronic discovery and information management, including advising clients on document retention policies, methods of collection, and representing clients at 26(f) conferences and in e-discovery court hearings.

Mr. Grande graduated from Yale College in 1996 and Georgetown University Law Center in 1999. He previously served as in-house counsel for a commodities company and as an e-discovery consultant for a national e-discovery vendor. Mr. Grande also worked for several years with another major international law firm. He began his legal career as a law clerk for the Honorable James M. Munley of the U.S. District Court for the Middle District of Pennsylvania.

Mr. Grande is a frequent writer and speaker on topics relating to e-discovery and social media. He is an adjunct professor at St. John’s Law School, where he teaches a course on e-discovery. He serves as co-chair of the Social Media Law Committee of the New York State Bar Association’s Commercial & Federal Litigation Section and serves on the Executive Committee of NYSBA’s Commercial & Federal Litigation Section. He also is a member of The Sedona Conference Working Group on Electronic Document Retention and Production and a member of the Securities Industry & Financial Markets Association Compliance & Legal Society.


Maura R. Grossman is Of Counsel at Wachtell, Lipton, Rosen & Katz.  Ms. Grossman has represented Fortune 100 companies and major financial services institutions in corporate and securities litigation, including civil actions and white collar criminal and regulatory investigations.  Her practice presently focuses on advising lawyers and clients on legal, technical, and strategic issues involving electronic discovery and information management, both domestically and abroad.

Ms. Grossman was appointed by Chief Administrative Judge Ann Pfau to serve as co-chair of the E-Discovery Working Group advising the New York State Unified Court System, and by District Judge Shira A. Scheindlin to serve as a member of the Attorney Advisory Group to the Judicial Improvements Committee of the United States District Court for the Southern District of New York.  Ms. Grossman is involved in various initiatives to provide training on e-discovery to federal and state court judges, and has served as a court-appointed e discovery expert and mediator.  Ms. Grossman also is a member of the Steering Committee of The Sedona Conference® Working Group 1 on Best Practices for Electronic Document Retention and Production, and a member of Working Group 6 on International Electronic Information Management, Discovery, and Disclosure.  In 2010 and 2012, she served as a coordinator of the Legal Track of the National Institute of Standards and Technology’s Text Retrieval Conference (“TREC”), a joint government/industry/academic research project studying the application of automated information retrieval technologies to e-discovery.  Ms. Grossman is an adjunct faculty member at Columbia Law School and the Georgetown University Law Center, where she teaches courses on e discovery.  She previously taught at Rutgers Law School–Newark and Pace Law School.

Ms. Grossman speaks and writes frequently on e-discovery and legal ethics.  She serves on the Advisory Boards of Bloomberg BNA’s Digital Discovery & e-Evidence Report, as well as the Georgetown University Law Center’s Advanced E-Discovery Institute.  She was co chair of the 2013 Institute and is on the faculty of the Law Center's week-long E-Discovery Training Academy.

Ms. Grossman graduated with an A.B., magna cum laude, from Brown University.  She received an M.A. and Ph.D. in Clinical/School Psychology from the Gordon F. Derner Institute of Advanced Psychological Studies at Adelphi University, and a J.D., magna cum laude, Order of the Coif, from the Georgetown University Law Center.  While at Georgetown, Ms. Grossman served as Executive Notes and Comments Editor of the Georgetown Law Journal.

Ms. Grossman is a member of the Association of the Bar of the City of New York, and has served on its Committee on Professional and Judicial Ethics; a member of the New York State Bar Association, where she serves on the E-Discovery Committee; and also a member of the American Bar Association.  


Valerie A. Szczepanik is an Assistant Director in the Asset Management Unit of the Division of Enforcement at the U.S. Securities and Exchange Commission (SEC).  Prior to that, she was a Senior Trial Counsel at the SEC, responsible for litigating civil court actions and administrative proceedings, including the Galleon and certain expert network insider trading cases.  She also served as a Special Assistant United States Attorney at the United States Attorney’s Office for the Eastern District of New York.  Ms. Szczepanik clerked for federal judges on the United States District Court for the District of Columbia and the United States Court of Appeals for the Federal Circuit.  Prior to clerking, she practiced patent law.  Ms. Szczepanik received her JD from Georgetown University and her Bachelor of Science degree in Engineering from the University of Pennsylvania.


Ronald is a member of Dentons' Litigation and Dispute Resolution practice group. He has extensive experience in e-discovery and in the management of complex litigation and has served as a special master, arbitrator and mediator. He also consults on management and discovery of electronically stored information (“ESI”).

Insights

  • Co-Author, “Competence with Electronically Stored Information: What Does It Mean in the Context of Litigation and How Can Attorneys Achieve it,” 15 DDEE 135 (2015)
  • International Extradition: A Guide for Judges (Federal Judicial Center: 2014)
  • Co-Senior Editor, The Sedona Conference® Cooperation Proclamation: Resources for the Judiciary (The Sedona Conference®: 2014, 2012 & 2011)
  • Co-Author, Managing Discovery of Electronic Information: A Pocket Guide for Judges (Federal Judicial Center: 2012 & 2007)
  • Discovery of Electronically Stored Information: Surveying the Legal Landscape (BNA: 2007)
  • Editing Team Member, The Sedona Guidelines: Best Practices Addressing Protective Orders, Confidentiality & Public Access in Civil Cases (The Sedona Conference®: 2007)
  • “Case Management and E-Discovery: Perfect Together,” 9 DDEE 220 (2009)
  • “Rule 26(f): The Most Important E-Discovery Rule,” New Jersey L. J. (May 18, 2009)
  • “A View from the Bench and the Trenches: A Critical Appraisal of Some Proposed Amendments to the Federal Rules of Civil Procedure,” 227 F.R.D. 123 (2005).

Activities and Affiliations

  • Member, American Law Institute
  • Member, American Bar Association
  • Member, Federal Bar Association
  • Member, Historical Society
  • Member, Lawyers Advisory Committee of the United States District Court for the District of New Jersey
  • Member, The Sedona Conference Judicial Advisory Board
  • Member, The Sedona Conference Working Group on Protective Orders, Confidentiality, and Public Access
  • Member, The Sedona Conference Working Group on Best Practices for Electronic Document Retention and Production
  • Member, Advisory Board of the Advanced E-Discovery Institute of Georgetown University Law Center.

Prior and Present Employment

Ron Hedges was a United States Magistrate Judge in the United States District Court for the District of New Jersey from 1986 to 2007. While a magistrate judge, he was the Compliance Judge for the Court Mediation Program, a member of the Lawyers Advisory Committee, and both a member of, and reporter for, the Civil Justice Reform Act Advisory Committee. From 2001 to 2005 he was a member of the Advisory Group of Magistrate Judges.

Ron was an adjunct professor at Seton Hall University School, where he taught mediation skills. He was an adjunct professor at Georgetown University Law Center and remains an adjunct professor at Rutgers School of Law—Newark. He taught courses on electronic discovery and evidence at both these schools. Ron was a Fellow at the Center for Information Technology of Princeton University for 2010-11 and 2011-12. He is also a member of the College of the State Bar of Texas.

Areas of focus

Practices

  • Health Care
  • Life Sciences
  • Privacy and Cybersecurity
  • Litigation and Dispute Resolution
  • E-Discovery
  • Environmental Litigation
  • Information Governance
  • Arbitration
  • Mediation

Industry sectors

  • Communications
  • Digital Media
  • Media Regulation
  • Energy
  • Energy Litigation
  • Life Sciences and Health Care
  • Technology

Education

Georgetown University Law Center, 1977, JD

Admissions and qualifications

District of Columbia

New Jersey

New York

Texas


Senior United States District Judge for the Southern District of New York. Entered on duty, March 1, 1996.  Born August 1, 1943 in Philadelphia, PA.   B.A., Swarthmore College, 1964.   M.Phil., Oxford Univ.,1966.  J.D., Harvard Law School, 1969.  LL.D. (Hon.), Swarthmore College, 2003.  LL.D. (Hon.), St. Francis University, 2005.

Law Clerk to Hon. Abraham L. Freedman, U.S. Court of Appeals, 3rd Circuit,  1969-70.
Associate,  Debevoise, Plimpton, et al.,  1970-72.  Asst. U.S. Attorney, S.D.N.Y. 1973-80 (Chief,  Business & Securities Fraud Prosecutions, 1978-80).  Litigation Partner, Mudge, Rose, et al., 1980-90; Litigation Partner, Fried, Frank, et al.,  1990-96.

Co-author of five books; author of over 120 published articles, over 480 speeches, and over 1300 judicial opinions.  Co-editor, Sand, et al., Modern Federal Jury Instructions.  Adjunct Professor of Law,  Columbia Law School, 1988-present, teaching courses on white collar crime, class actions,  interplay of civil and criminal litigation, and science and the courts.

Commissioner, National Commission on Forensic Science, 2014-present.  Co-chair, National Academy of Sciences Committee on Scientific Approaches to Eyewitness Identification, 2013-present. Member, American Academy of Arts and Sciences, 2013-present. Member, American Law Institute, 2011-present.  Executive  Committee, New York City Bar Assn., 2013-present (Chair, Honors Comm., 2006-09; Chair, Criminal Law Comm., 1986-89). Trustee, William Nelson Cromwell Foundation, 2009-present.

Board of Managers, Swarthmore College, 2004-2008.  Governance Board, MacArthur Foundation Initiative on Law and Neuroscience, 2007-2010.   Chair, Criminal Justice Advisory Board, SDNY, 1998-2011.  Member, Committee on the Development of the Third Edition of the [Federal Judges’] Manual on Scientific Evidence, 2009=2011. Member, National Research Council Committee on Review of the Scientific Approaches Used During the FBI’s Investigation of the 2001 Anthrax Letters, 2009-2011.

Chair, SDNY Grievance Committee  2001-2012.  Chair, Second Circuit Bankruptcy Committee, 2003-2011.   Fellow (now Judicial Fellow),  American College of Trial Lawyers, 1987-present (Chair, Downstate New York Chapter, 1993-94).  Fellow (now Judicial Fellow), American Board of Criminal Lawyers, 1995-present.


Christine Ryall is a Chief Trial Attorney for the Division of Enforcement of the US Commodity Futures Trading Commission in Washington, DC.  Since joining the CFTC in March 2000, Ms. Ryall has conducted and supervised investigations of potential violations of the Commodity Exchange Act and Commission Regulations, including those involving fraud, price manipulation, and illegal trade practices in the retail, physical, futures, and swaps markets, and represents the CFTC in enforcement actions in federal district courts throughout the United States.  Prior to joining the CFTC, Ms. Ryall served as Senior Counsel for the Florida Real Estate Commission in Orlando, Florida, where she represented the FREC in evidentiary hearings before ALJs and appellate proceedings before Florida District Courts of Appeal.  Ms. Ryall also served as an Assistant Public Defender for the Second Judicial Circuit of Florida in Tallahassee, Florida, where she was lead counsel in numerous jury trials, bench trials, hearings, and appeals in juvenile, traffic, misdemeanor, and felony cases.  Ms. Ryall holds a JD from the University of Florida and an MBA from Clemson University.


Jeane A. Thomas is Chair of Crowell & Moring's E-Discovery and Information Management Group and a partner in the firm's Antitrust Group.

In her role with the E-Discovery practice, Ms. Thomas has managed many types of E-Discovery matters in both government investigations and private litigation.  She regularly counsels clients on Information Governance issues, including the development and application of effective document/data retention policies, legal hold practices, and corporate content policies, as well as E-Discovery response plans.  Ms. Thomas is a participating member of the Sedona Conference Working Group 1 on Electronic Document Retention and Production, and Working Group 6 on International Electronic Information Management, Discovery and Disclosure.  She is also a member of the Advisory Board and Faculty of the Georgetown University Law Center Advanced Institute for E-Discovery.   She regularly speaks and writes on E-Discovery issues, and is a Certified Information Privacy Professional, with a focus on European regulation, by the International Association of Privacy Professionals.

Ms. Thomas is engaged in all types of antitrust representations, including mergers and joint ventures, class and individual civil litigation, and civil and criminal government investigations. She counsels clients on a broad range of antitrust issues, including intellectual property and licensing issues, trade association law, the Hart Scott Rodino Act, and pricing and distribution issues.  She has focused extensively on the agbiotech, telecommunications, technology, chemicals and healthcare/pharmaceuticals industries.

Ms. Thomas has been recognized by clients and peers as a top lawyer in Chambers Global and Chambers USA in the fields of E-Discovery and Antitrust. 


Ms. Morris serves as Deputy Enforcement Director at the Consumer Financial Protection Bureau. She is responsible for overseeing a team of attorneys handling exam support, investigations, and litigation. Prior to joining the Bureau, she served as Counsel to the House of Representatives Committee on Ethics, where she led high-profile congressional investigations and disciplinary proceedings. She previously spent several years at the Tax Division of the Department of Justice, where she worked primarily on civil tax and bankruptcy cases, including complex tax shelter litigation and Chapter 11 reorganizations. She also served as a judicial law clerk following her graduation from Notre Dame Law School.