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Best Practice Regarding Technology 2019

Webinar Series: LEGAL ETHICS – BEST PRACTICES 2019 - WINTER/SPRING

Technology is rapidly changing the way that lawyers and businesses interact (e.g. email; data rooms). This creates new and different challenges to confidentiality, attorney-client privilege and the creation of a detailed record of negotiations and interactions. This webinar will describe the problems and some solutions that arise out of the changing manner and pace of business law practice.

This webinar will also cover several ABA Model Rules of Professional Conduct. The panelists will examine ABA Model Rule 1.1 and specifically discuss Comment 8’s recommendation that “to maintain the requisite knowledge and skill, a lawyer should keep abreast of changes in the law and its practice, including the benefits and risks associated with relevant technology…”

View On Demand Webinar: https://www.financialpoise.com/financial-poise-webinars/best-practice-technolog-2019/

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Best Practice Regarding Technology 2019

  1. 1. Practical and entertaining education for attorneys, accountants, business owners and executives, and investors. 2
  2. 2. The material in this webinar is for informational purposes only. It should not be considered legal, financial or other professional advice. You should consult with an attorney or other appropriate professional to determine what may be best for your individual needs. While Financial Poise™ takes reasonable steps to ensure that information it publishes is accurate, Financial Poise™ makes no guaranty in this regard. DISCLAIMER 3
  3. 3. MEET THE FACULTY MODERATOR: Michelle Gershfeld Law Office of Michelle Gershfeld PANELISTS: Robert Michaels Goldstein & McClintock Kathryn Nadro Sugar Felsenthal Grais & Helsinger Ralph Preite Sichenzia Ross Ference LLP 4
  4. 4. ABOUT THIS WEBINAR Technology is rapidly changing the way that lawyers and businesses interact (e.g. email; data rooms). This creates new and different challenges to confidentiality, attorney-client privilege and the creation of a detailed record of negotiations and interactions. This webinar will describe the problems and some solutions that arise out of the changing manner and pace of business law practice. This webinar will also cover several ABA Model Rules of Professional Conduct. The panelists will examine ABA Model Rule 1.1 and specifically discuss Comment 8’s recommendation that “to maintain the requisite knowledge and skill, a lawyer should keep abreast of changes in the law and its practice, including the benefits and risks associated with relevant technology…” Model Rule 1.6 requires the attorney to perform “reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or unauthorized access to, information relating to the representation of a client.” This requirement will be examined in light of the special concerns presented by the use of technology. The panelists will also address Comment 18 to Model Rule 1.6 and explore “reasonableness” judged by “sensitivity of the information, likelihood of disclosure if additional safeguards are not employed, the cost of employing additional safeguards and the extent to which safeguards adversely affect the lawyer’s ability to represent clients (e.g., software that is excessively difficult to use). Further, this webinar will examine ABA Model Rule 5.1 and 5.2 and the requirement that the attorney must make “reasonable efforts” to ensure that the firm conforms to the Rules of Professional Conduct. The panel will also explore the requirement that lawyers supervising other attorneys shall make “reasonable efforts” to ensure that the other lawyer conforms to the Rules of Professional Conduct. Finally, the panel will examine ABA Model Rule 5.3 and its requirement that lawyers with direct supervisory authority over nonlawyers must make “reasonable efforts” to ensure that the person’s conduct is compatible with the professional obligations of the lawyer, Also, the panel will explore Comment 2 to Rule 5.3. 5
  5. 5. ABOUT THIS SERIES Corporate scandals make the headlines periodically, but businesses and the lawyers that work with them face ethical challenges every day, even in situations that are legally compliant. This webinar series examines ethical issues confronted by businesses in a variety of contexts, from so called “grey areas” to those involving outright corruption. The panels consider and recommend different approaches to ethical decision-making and the lawyer's role in advising business clients. Each episode is delivered in Plain English understandable to business owners and executives without much background in these areas. Yet, each episode is proven to be valuable to seasoned professionals. As with all Financial Poise Webinars, each episode in the series brings you into engaging, sometimes humorous, conversations designed to entertain as it teaches. And, as with all Financial Poise Webinars, each episode in the series is designed to be viewed independently of the other episodes, so that participants will enhance their knowledge of this area whether they attend one, some, or all of the episodes. 6
  6. 6. Dates shown are premiere dates; all episodes will be available on demand after their premiere date. EPISODES IN THIS SERIES Episode#1 Best Practice Regarding Technology 2/13/2019 Episode#2 Hot Off the Press- Recent Cases & Decisions 3/13/2019 Episode#3 How to Avoid Malpractice & Disciplinary Actions – 4/10/2019 General DOs and DON’Ts 7
  7. 7. ..,,,Episode#1: Best Practice Regarding Technology 8© 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™
  8. 8. ..,,, TECHNOLOGY-RELATED COMPETENCE OF AN ATTORNEY • Key Authorities • RPC* 1.1 Competence, comment 8 ✓ In this comment to the competence rule, attorneys are directed that they should keep abreast of the benefits and risks of technology. • RPC 1.6 Confidentiality of Information ✓ Lawyers are obligated to take reasonable steps to prevent inadvertent and unauthorized disclosure of or unauthorized access to client confidences. ✓ Comments 18 & 19 – These comments contain general advice regarding acting reasonably to protect confidential client information. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 9
  9. 9. ..,,, TECHNOLOGY-RELATED COMPETENCE OF AN ATTORNEY (cont’d) • ABA Formal Ethics Opinion 477R ✓ This formal Ethics Opinion addresses a number of technology-related competence issues for attorneys. *Throughout this PowerPoint, “RPC” refers to rule of professional conduct as numbered in the vast majority of jurisdictions. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 10
  10. 10. ..,,, STORAGE AND COMMUNICATION OF CLIENT INFORMATION • Overview: Act Reasonably • No hard and fast rules about encryption, firewalls, passwords, or other measures • Formal Ethics Opinion 477R ✓ Adopt a Process to: ▪ Assess risk ▪ Determine responsive security measures ▪ Verify effective implementation, and ▪ Update your approach in light of developments © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 11
  11. 11. ..,,, STORAGE AND COMMUNICATION OF CLIENT INFORMATION (cont’d) • Assess Risks: Understand the Threats to Data – Especially Electronic Data – In Its Various Locations ✓ Such as: unauthorized access; unauthorized disclosure; viruses; document transfer to portable devices (and subsequent loss) • Act Reasonably in Determining Default Rules for Data Storage Locations and Communication Methods ✓ See generally RPC 1.1, 1.6 ✓ Act Reasonably when using Cloud Computing and Storage ▪ More information at the next slide © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 12
  12. 12. ..,,, STORAGE AND COMMUNICATION OF CLIENT INFORMATION (cont’d) • Evaluate When Additional Measures Are Needed to Protect Client Information ✓ Comment 18 and 19 to RPC 1.6 Confidentiality of Information encourage lawyers to consider: ▪ Sensitivity of information ▪ Likelihood of disclosure if additional safeguards are not employed ▪ The cost of employing additional safeguards ▪ The difficulty of implementing the safeguards, and ▪ The extent to which the safeguards adversely affect the lawyer’s ability to represent clients. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 13
  13. 13. ..,,, CLOUD COMPUTING AND STORAGE • Ethics Opinions in 20 states ✓ States: Alabama, Arizona, California, Connecticut, Florida, Iowa, Maine, Massachusetts, New Hampshire, New Jersey, New York, Nevada North Carolina, Ohio, Oregon, Pennsylvania, Vermont, Virginia, Washington, and Wisconsin ✓ Compilation of rules is available at: https://www.americanbar.org/groups/departments_offices/legal_technol ogy_resources/resources/charts_fyis/cloud-ethics-chart.html © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 14
  14. 14. ..,,, CLOUD COMPUTING AND STORAGE (cont’d) • Bottom Line: Reasonable care standard • Common themes: ✓ exercise care in selecting vendor; ✓ review terms of service; ✓ ensure that vendor protects confidentiality and access; ✓ investigate security measures and any security lapses © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 15
  15. 15. ..,,, INADVERTENT DISCLOSURE OF CONFIDENTIAL CLIENT INFORMATION • Ethical and Legal Implications for Sending Attorneys • Act reasonably to prevent inadvertent disclosure ✓ RPC 1.1 competence; RPC 1.6(c) confidentiality. Comment [18] adds that Rule 1.6 is not violated if disclosure occurs despite an attorney’s reasonable efforts • Common instances: in discovery and in electronic communication with opposing counsel © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 16
  16. 16. ..,,, INADVERTENT DISCLOSURE OF CONFIDENTIAL CLIENT INFORMATION (cont’d) • Ethical and Legal Implications for Sending Attorneys • Prevention ✓ Privilege Review (in litigation) ✓ Care in Using Email, such as checking email addressing before sending and marking privileged documents privileged • Planning ✓ Clawback Agreements and Orders - Fed. R. Evid. 502 ▪ Do not borrow standard from Fed. R. Evid. 502(b) ▪ Seek client informed consent. Why? • Acting Reasonably to Mitigate the Damage When Inadvertent Disclosure Inevitably Occurs © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 17
  17. 17. ..,,, INADVERTENT DISCLOSURE OF CONFIDENTIAL CLIENT INFORMATION (cont’d) • Ethical and Legal Obligations of Receiving Attorneys • RPC 4.4(b) or Case Law ✓ “Notice only” approach – this is the Model Rules approach followed by the majority of states ✓ “Notice+” approach – a receiving attorney must provide notice to the sender and take other steps to protect the confidential information © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 18
  18. 18. ..,,, INADVERTENT DISCLOSURE OF CONFIDENTIAL CLIENT INFORMATION (cont’d) • Ethical and Legal Obligations of Receiving Attorneys • In civil litigation in federal court, FRCP 26(b)(5)(B), Fed. R. Evid. 502, clawback agreements, and case law should also be considered. ✓ If the document was disclosed in discovery, the receiving attorney will have to protect the confidentiality of the document in the short term but may decide to seek a court ruling that the privilege was waived, which will turn on the clawback agreement or order (if there is one) or the court’s application of the waiver standard found in Fed. R. Evid. 502(b). © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 19
  19. 19. ..,,, METADATA • Ethics Opinions Concerning Recipient Review of Opponent’s Metadata ✓ ABA Formal Ethics Opinion 06-442 – provides that recipient review turns on whether the disclosure was “inadvertent” ✓ Several states have issued ethics opinions on the permissibility of reviewing opponent metadata; they are split, with some permitting it (but noting additional obligations if sent inadvertently) and others prohibiting it. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 20
  20. 20. ..,,, METADATA (cont’d) • Competence and the Duty to Prevent Disclosure of Confidences in Metadata ✓ RPC 1.6 ✓ ABA Formal Ethics Opinion 06-442 and various state ethics opinions suggest steps that can be taken to avoid disclosing confidences in metadata • Metadata and Discovery – metadata is often relevant, so it is not an answer to remove all metadata in a document production. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 21
  21. 21. ..,,, FORMATION OF THE ATTORNEY CLIENT RELATIONSHIP • Implications of attorney website that prompts visitors to submit legal questions. • RPC 1.18 – lawyer owes a prospective client defined duties ✓ Whether someone who provides information to a lawyer is a “prospective client” generally turns on whether the lawyer invited submission of the information without appropriate disclaimers ✓ Confidentiality obligation for disclosed information ✓ Limitations on the ability of a lawyer to represent an adverse party in the same or substantially related matter © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 22
  22. 22. ..,,, FORMATION OF THE ATTORNEY CLIENT RELATIONSHIP (cont’d) • Ethical limitations on electronic solicitation by lawyers. • RPC 7.3 addresses solicitation of clients. • Generally no real time solicitation if the motive is pecuniary gain. • For other electronic solicitations, lawyers must satisfy other requirements of a state’s version of RPC 7.3, such as including words like “Advertising Material.” © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 23
  23. 23. ..,,, FORMATION OF THE ATTORNEY CLIENT RELATIONSHIP (cont’d) • Ethical limitations on internet-based third party referral services. • NY State Bar Association Ethics Opinion 1132 (8/8/17) – Attorneys paying a marketing fee to Avvo amounts to paying for a recommendation, which is prohibited by NY RPC 7.2(a). ✓ NY RPC 7.2(a) provides “A lawyer shall not compensate or give anything of value to a person or organization to recommend or obtain employment by a client, or as a reward for having made a recommendation resulting in employment by a client.” ✓ When using Avvo, a prospective client reviews attorneys (and ratings) in specialty areas and can purchase a package that includes advice from the lawyer. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 24
  24. 24. ..,,, FORMATION OF THE ATTORNEY CLIENT RELATIONSHIP (cont’d) ✓ Avvo pays participating attorneys all fees generated by the attorney the previous month and deducts a “marketing fee.” ✓ The Opinion reasons that the Avvo attorney rating is a recommendation. The opinion states that the conclusion is bolstered by Avvo’s “satisfaction guarantee” which refunds the client’s payment (including Avvo’s portion of the fee) if the client is not satisfied. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 25
  25. 25. ..,,, ETHICAL LIMITS ON BLOGGING LAWYERS • Blog posts may be considered advertisements that must comply with advertising RPCs. See, e.g., Hunter v. Virginia State Bar ex rel. Third District Committee, 744 S.E.3d 611 (Va. 2013) ✓ RPC 7.1 - must not be false or misleading ✓ RPC 7.2 – must comply with requirements of this rule, which vary from state to state. ✓ RPC 7.4 – must not communicate fields of specialization except to the extent doing so is consistent with the requirements of the jurisdiction’s rule (which varies from state to state) © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 26
  26. 26. ..,,, ETHICAL LIMITS ON BLOGGING LAWYERS (cont’d) • Attorney bloggers must not reveal confidential information, which is broadly defined in most states as information relating to the representation of the client. RPC 1.6. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 27
  27. 27. ..,,, ATTORNEYS AND SOCIAL MEDIA • Attorney misuse of social media. • Rules that may be implicated ✓ RPC 8.4(c) – misconduct to engage in conduct involving “dishonesty, fraud, deceit or misrepresentation.” ✓ RPC 8.4(d) engage in conduct that is prejudicial to the administration of justice. ✓ RPC 8.4(g) engage in harassment or discrimination © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 28
  28. 28. ..,,, ATTORNEYS AND SOCIAL MEDIA (cont’d) • Attorney misuse of social media. • Recent cases: ✓ Discipline sought against an Illinois attorney who created fake match.com account and took other actions online to harass opposing counsel. ✓ Discipline sought against New York attorneys took photos in a courtroom (in violation of the rules of the court) and posted the photos and commentary on social media. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 29
  29. 29. ..,,, ATTORNEYS AND SOCIAL MEDIA (cont’d) • Attorneys “friending” opposing parties, witnesses, or prospective jurors on social media • A lawyer is prohibited from communicating with a person represented by counsel. RPC 4.2 • It is also a violation of professional conduct rules for a lawyer to ask someone else (like a secretary or paralegal) to do what the lawyer is prohibited from doing under the rules. RPC 5.3(c) and 8.4(a) © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 30
  30. 30. ..,,, ATTORNEYS AND SOCIAL MEDIA (cont’d) • Even if the contact is not otherwise prohibited, if the lawyer falsely states her identity in making a friend request, that would violate RPC 4.1 which prohibits lawyers making false statements of material fact • Recent case: ethics charges filed against a Pennsylvania prosecutor who set up a fake Facebook account – and encouraged staff to use the account – to “friend” defendants in pending cases. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 31
  31. 31. ..,,, ATTORNEYS AND SOCIAL MEDIA (cont’d) • Attorneys responding to negative reviews by clients. • Attorneys must not reveal confidential information (i.e., information related to the representation of the client) in response to an online review. ✓ This can occur even if the client’s name is not used • Those who do will face discipline for RPC 1.6 violation. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 32
  32. 32. ..,,, ATTORNEYS AND SOCIAL MEDIA (cont’d) • Strategies for responding professionally, without revealing confidential information. ✓ Stay away from information about the client, facts of the case, and your interactions with the client. ✓ State your desire for clients to be pleased with your representation. ✓ Express your disappointment that this client is not pleased with your service. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 33
  33. 33. ..,,, CLIENTS AND SOCIAL MEDIA • Client privilege waiver through online posts • Attorney client privilege requires a confidential communication. If the content of that communication is intentionally revealed by a client in an online post, privilege is waived. • Work product protection also can be waived through disclosure. • Competent attorneys should protect the privilege by discussing these issues with clients, providing memorable examples. • Examples: ✓ Lenz v. Universal Music Corp., 2010 WL 4286329 (N.D. Cal. Oct. 22, 2010). ✓ Kintera v. Convio, Inc., 219 F.R.D. 503 (S.D. Cal. 2003). © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 34
  34. 34. ..,,, TRAVELING ABROAD AND PRESERVING PRIVILEGE AT THE BORDER • There is no 4th Amendment requirement of “probable cause” at the border. • To preserve the attorney client privilege and confidential client information on a laptop or other device, it is unclear exactly what must be done. • At a minimum, if a border officer asks to access information on your laptop or other device, you should assert the attorney-client privilege and identify the device as containing confidential information. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 35
  35. 35. ..,,, TRAVELING ABROAD AND PRESERVING PRIVILEGE AT THE BORDER • If the officer asks for your passwords, ask if that is an order or a request. If it is a request, decline, based on the privilege. If it is an order, ask to speak to a supervisor and ask that they limit their access to the confidential information. • The touchstone is that you do all that you reasonably can to assert the privilege and avoid disclosure but, in the end, you must comply with a lawful demand to search. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 36
  36. 36. ..,,, AMERICAN BAR ASSOCIATION MODEL RULE 1.6: CONFIDENTIALITY OF INFORMATION Client-Lawyer Relationship (a) A lawyer shall not reveal information relating to the representation of a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the representation or the disclosure is permitted by paragraph (b). (b) A lawyer may reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary: (1) to prevent reasonably certain death or substantial bodily harm; © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 37
  37. 37. ..,,, AMERICAN BAR ASSOCIATION MODEL RULE 1.6: CONFIDENTIALITY OF INFORMATION (cont’d) (2) to prevent the client from committing a crime or fraud that is reasonably certain to result in substantial injury to the financial interests or property of another and in furtherance of which the client has used or is using the lawyer's services; (3) to prevent, mitigate or rectify substantial injury to the financial interests or property of another that is reasonably certain to result or has resulted from the client's commission of a crime or fraud in furtherance of which the client has used the lawyer's services; (4) to secure legal advice about the lawyer's compliance with these Rules; © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 38
  38. 38. ..,,, AMERICAN BAR ASSOCIATION MODEL RULE 1.6: CONFIDENTIALITY OF INFORMATION (cont’d) (5) to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer and the client, to establish a defense to a criminal charge or civil claim against the lawyer based upon conduct in which the client was involved, or to respond to allegations in any proceeding concerning the lawyer's representation of the client; (6) to comply with other law or a court order; or © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 39
  39. 39. ..,,, AMERICAN BAR ASSOCIATION MODEL RULE 1.6: CONFIDENTIALITY OF INFORMATION (cont’d) (7) to detect and resolve conflicts of interest arising from the lawyer’s change of employment or from changes in the composition or ownership of a firm, but only if the revealed information would not compromise the attorney-client privilege or otherwise prejudice the client. (c) A lawyer shall make reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or unauthorized access to, information relating to the representation of a client. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 40
  40. 40. ..,,, AMERICAN BAR ASSOCIATION MODEL RULE 1.6: CONFIDENTIALITY OF INFORMATION (cont’d) Comment 18 – “reasonableness” judged by “sensitivity of the information, likelihood of disclosure if additional safeguards are not employed, the cost of employing additional safeguards and the extent to which safeguards adversely affect the lawyer’s ability to represent clients (e.g., software that is excessively difficult to use).” © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 41
  41. 41. ..,,, AMERICAN BAR ASSOCIATION MODEL RULE 1.8 • Comment 8: to maintain the requisite knowledge and skill, a lawyer should keep abreast of changes in the law and its practice, including the benefits and risks associated with relevant technology…” © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 42
  42. 42. ..,,, AMERICAN BAR ASSOCIATION MODEL RULE 5.1, 5.2 Responsibilities of partners, managers, and supervisory lawyers: • Lawyers must make “reasonable efforts” to ensure that the firm conforms to the Rules of Professional Conduct • Lawyers supervising other attorneys shall make “reasonable efforts” to ensure that the other lawyer conforms to the Rules of Professional Conduct. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 43
  43. 43. ..,,, AMERICAN BAR ASSOCIATION MODEL RULE 5.3 • Responsibilities regarding nonlawyer assistance • Lawyers with direct supervisory authority over nonlawyers must make “reasonable efforts” to ensure that the person’s conduct is compatible with the professional obligations of the lawyer • Comment 2: “A lawyer must give such assistants appropriate instruction and supervision concerning the ethical aspects of their employment, particularly regarding the obligation not to disclose information relating to the representation of the client, and should be responsible for their work product.” • This means no using unsecured wifi for client matters! © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 44
  44. 44. ABOUT THE FACULTY MICHELLE GERSHFELD, ESQ. MGershfeldlaw@gmail.com Michelle Gershfeld is a bankruptcy attorney, debt negotiator and personal financial life coach who advises people who are in debt, or building wealth, by identifying and overcoming obstacles that lie in their path to securing worry-free, financial wellness. She works with clients individually to create a strategic, customized plan for each unique financial situation; tackling challenges while defining actionable steps that will increase awareness, change behaviors and lead to the fulfillment of long-term financial goals. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 45
  45. 45. ABOUT THE FACULTY ROBERT MICHAELS robm@goldmclaw.com Rob is a partner at Goldstein & McClintock, LLP. At G&M, Mr. Michaels works with attorneys who have hailed from top law firms around the country, all of whom regularly represent sophisticated clients in a wide variety of commercial matters. Yet at the same time, Mr. Michaels’ clients will immediately benefit from the greater affordability, accessibility, and individual attention of a boutique law practice. Rob counsels and litigates for clients in a wide variety of complex commercial litigation matters, including fraud, RICO, shareholder disputes, professional liability and other claims arising from corporate looting and insolvencies, as well as a range of software and technology matters. Rob has practiced in state and federal courts around the country and has successfully argued a number of federal appeals. Before joining RCC, Rob was a Staff Attorney and Project Director at the Environmental Law and Policy Center of the Midwest, a Bigelow Teaching Fellow at the University of Chicago Law School, an associate at Mayer Brown, and a law clerk for a federal district court judge. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 46
  46. 46. ABOUT THE FACULTY KATHRYN NADRO knadro@sfgh.com Kathryn Nadro is an associate with Sugar Felsenthal Grais & Helsinger where she works with the Labor & Employment and Commercial Litigation practice groups. Kathryn's practice focuses on representing companies and individuals in commercial litigation as well as employment and labor matters. Kathryn has broad experience defending companies in contract, fiduciary duty and trademark litigation in state and federal court. Her successful representations include favorable resolutions for her clients in both pre-trial proceedings and at trial. Additionally, Kathryn counsels clients on employment and labor issues, including discrimination claims, executive compensation disputes and worker's compensation claims. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 47
  47. 47. ABOUT THE FACULTY RALPH PRIETE rp@preite.us RALPH E. PREITE, ESQ. is a partner with the NY law firm, Sichenzia Ross Ference LLP, focusing on bankruptcy, corporate finance, securities law, and related litigation. He has also served as a registered NY lobbyist. Mr. Preite's clients include banks, securities firms, funds, shipping companies, real estate developers and Trustees. Mr. Preite has served as a federal judicial law clerk to a U.S. Bankruptcy Judge in the EDNY, a legal commentator on television regarding bankruptcy matters, and as a NYS Supreme Court referee and court arbitrator. Mr. Preite has served as trustee of a 501(c)(3) educational foundation, and chaired several of its committees. Mr. Preite holds a Bachelor’s Degree in Economics from New York University, and Juris Doctorate from New York Law School. © 2019 by DailyDAC, LLC d/b/a Financial Poise Webinars™ 48
  48. 48. The material in this presentation is for general educational purposes only. It has been prepared primarily for attorneys and accountants for use in the pursuit of their continuing legal education and continuing professional education. IMPORTANT NOTES 49
  49. 49. If you have any questions about this webinar that you did not get to ask during the live premiere, or if you are watching this webinar on demand, please don’t hesitate to email us at: info@financialpoise.com Please include the name of the webinar in your email, and we will provide a response to your question. QUESTIONS OR COMMENTS? 50
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  51. 51. About Financial Poise™ www.financialpoise.com DailyDAC LLC, d/b/a Financial Poise™ provides continuing education to attorneys, accountants, business owners and executives, and investors. Its websites, webinars, and books provide Plain English, entertaining, explanations about legal, financial, and other subjects of interest to these audiences. 52

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