All-Day CLE Program for In-House Counsel

Presentation materials can be downloaded at the links below:

Session 1 - Ethics for In-House Counsel     |     Outline
Session 2 - Hrymoc/McGinnis       |      Related Ruling 1       |      Related Ruling 2
Session 3 - Using AI and the Potential IP Pitfalls
Session 4 - Current Trends in Cyber Security and Data Privacy
Session 5 - Doing Deals in the Garden State
Session 6 - Securities Litigation, Arbitration, Regulation, and Investigations – Overview and Case Studies
Session 7 - What In-House Lawyers Need to Know About DEI in 2023 and Beyond
Session 8 - Congratulations, You Just Got a Grand Jury Subpoena

Hyatt Regency Morristown
3 Speedwell Avenue
Morristown, NJ 07960

7:15 AM Registration and Continental Breakfast
8:00 - 5:00 CLE Programs
5:00 PM Cocktail Reception

This event is being offered to attorneys who serve as in-house counsel.

Registration Closed.

7:15 Registration and Continental Breakfast

8:00 Session 1 - Ethics for In-House Counsel
Speakers: Stuart M. Lederman, Lance J. Kalik, Anne M. Mohan
50 min – CLE Credit: 1 New Jersey CLE and 1 New York CLE (reciprocal)

Panelists will explore the ethical rules that apply to in-house counsel (“IHCs”) and provide insights on the ethics issues that in-house lawyers confront on a regular basis. Topics to be discussed will include:

• The Rules of Professional Conduct that are applicable to IHCs
• The attorney-client privilege and IHCs
• Communications with a person represented by counsel in the corporate counseling context
• IHC ethical issues in the context of litigation
• IHC ethical issues in the context of internal investigations
• Negotiations and the attorney ethics rules

9:00 Session 2 - Hrymoc/McGinnis: Admissibility of a Medical Device’s 510(k) Clearance in a Product Liability Trial
Speakers: Kelly S. Crawford, Maha M. Kabbash, Diana Katz Gerstel
50 min – CLE Credit: 1 New Jersey CLE and 1 New York CLE (reciprocal)

This panel will discuss the New Jersey Supreme Court’s Hrymoc/McGinnis opinion issued on 7/25/23, specifically:

• What is 510k clearance: the “safety” vs. “equivalence” debate
• Factors affecting the admissibility at trial of a medical device’s clearance to market through the FDA’s 510(k) process
• Availability of punitive damages under Section 5 of the NJ Product Liability Act in cases involving 510(k) devices

9:50 - 10:10 Morning Break

10:10 Session 3 - Using AI and the Potential IP Pitfalls
Speaker: Wendi Opper Uzar
50 min – CLE Credit: 1 New Jersey CLE and 1 New York CLE (reciprocal)

This session will discuss the recent expansion of AI capabilities by businesses and the growing concern about its potential Intellectual Property pitfalls. While AI systems have proven to be highly beneficial, they may affect your right to protect the work created and carry a risk of IP infringement. Topics to include:

• Ownership rights in the output generated by AI
• S. Copyright Office’s current position on the ownership of AI created content
• The risk of infringement associated with the use of AI
• Mitigating the legal risk posed by AI, including establishing policies within your business and vetting providers

11:10 Session 4 - Current Trends in Cyber Security and Data Privacy
Speakers: Michael P. O’Mullan, Robert P. Vacchiano
50 min – CLE Credit: 1 New Jersey CLE and 1 New York CLE (reciprocal)

This presentation will address the fundamentals of cyber security and data privacy that every lawyer should know, as well as provide an overview of recent trends in the development of cyber and privacy law.

12:00 - 12:30 Lunch Break

12:30 Session 5 - Doing Deals in the Garden State
Speakers: Jason D. Navarino (moderator), Hannah J. Greendyk (corporate/tax), James M. Maggio, Jr. (real estate), Adam J. McInerney (employment), Lauren N. Spitser (trusts and estates), Wendi Opper Uzar (IP), Alexa Richman-La Londe (environmental law)
75 minutes – CLE Credit: 1.5 New Jersey CLE and 1.5 New York CLE (reciprocal)

This session will be a high-level conversation concerning issues that arise in M&A transactions and how to successfully deal with them. Our panel will discuss what you need to know when considering a merger, acquisition, or sale of a privately-owned company. Whether you believe your company or a client of yours may benefit from growing through acquisition or seeking a merger partner, or may be looking to exit, there are important factors specific to New Jersey that need to be part of a careful strategy. Riker Danzig’s Corporate Group, along with seasoned practitioners from other practices in our Firm, will provide insights for business owners, investment bankers, accountants, financial advisors, and in-house counsel in the complicated area of Mergers & Acquisitions. Topics will include:

• How the deal process typically works, from NDAs through closing
• Due diligence to avoid deal killers and post-closing surprises
• Tax considerations in structuring transactions, including income taxes, NJ real estate transfer taxes, and estate planning implications
• How to identify, transfer, and protect relevant intellectual property assets
• ISRA and other environmental concerns for NJ-based transactions
• NJ WARN Act and other considerations for transferring NJ-based employees
• When and how to deal with (and why not to avoid) NJ’s bulk sale notification process

2:00 Session 6 - Securities Litigation, Arbitration, Regulation, and Investigations – Overview and Case Studies
Speakers: Anthony J. Borrelli, Hunt S. Ricker, Rebecca A. Borgese
50 min – CLE Credit: 1 New Jersey CLE and 1 New York CLE (reciprocal)

This session will provide an overview of Securities Litigation, Arbitration, Regulation, and Investigations law – which is simultaneously specialized and broad. While the focus is on the securities industry, this area of law involves commercial litigation, securities arbitration, employment arbitration, corporate internal investigations, and investigations opened by state and federal regulators. Relying on case studies, panelists will address how complaints by customers of major broker-dealers are investigated and evaluated, while weighing litigation, regulatory, reputational, and business risk.

One case study involves an internal investigation of a current employee of a major broker-dealer, which resulted in the employee’s termination. That led to state court litigation, FINRA arbitration, and regulatory inquiries. The broker-dealer was seeking to recover a loan from the employee, and the employee asserted claims for wrongful termination, invasion of privacy, and defamation. This case study will highlight some of the industry rules and securities laws, as well as the unique issues that can arise in employment-related matters in the financial services industry.

Another case study presents issues involving a vulnerable client and concerns about financial exploitation. The claimant, the customer’s only child, claimed that a major broker-dealer mismanaged the customer’s assets before his death and that she should have been placed in control of her father’s assets before his death. The case highlighted a broker-dealer’s obligations as a regulated entity and its compliance with those obligations, and how these issues played out in FINRA arbitration.

2:50 - 3:10 Afternoon Break

3:10 Session 7 - What In-House Lawyers Need to Know About DEI in 2023 and Beyond
Speakers: Edwin F. Chociey, Jr., with the following: Kiran K. Nagulapalli of Wolters Kluwer; Sobande Afolabi of Girl Scouts of the USA; and Akil Roper of Legal Services of New Jersey
50 min – CLE Credit: 1 New Jersey CLE and 1 New York CLE (reciprocal)

Our panel will address important DEI concerns for in-house attorneys in 2023 (and beyond), including:

• Increased Focus on DEI Efforts and the Importance of Belonging
• Greater Accountability
• Increased Use of Data
• Measuring DEI Progress

4:10 Session 8 - Congratulations, You Just Got a Grand Jury Subpoena
Speakers: Charles B. McKenna, Ryan L. O’Neill, Samuel P. Moulthrop
50 min – CLE Credit: 1 New Jersey CLE and 1 New York CLE (reciprocal)

Our panelists in this session will discuss:

• Federal grand jury as the mechanism for generating subpoenas
• Rule 6(e) Fed R. Crim. P.
• Testimonial grand jury or duces tecum?
• Status of person or entity subpoenaed
• Quash not squash
• Narrowing the subpoena
• Take a walk down “Fifth” Avenue
• Proffer protections
• Prepare, Prepare, Prepare
• Review, Review, Review
• What does Bates stamp mean?
• Make the production and hope for the best

5:00 - 6:30 Cocktail Reception

This event is being offered to attorneys who serve as in-house counsel.

REGISTER HERE for certain programs or for the whole day.

If you have any questions, please email Richelle Delavan at rdelavan@riker.com.