How to Handle a Regulatory Investigation and Related Litigation
June 6th 2012 at the Hilton New York
- Silvio DeCarli, Chief Litigation Counsel of DuPont
- Robert Giuffra, Litigation Partner at Sullivan & Cromwell LLP
- Kathleen McCarthy, Managing Director, Head of Litigation RBS Americas
- Mark Shelton, Group Managing Director & Americas General Counsel, UBS
- Betty Whelchel, General Counsel - CIB Americas at BNP Paribas
Silvio DeCarli, Chief Litigation Counsel, DuPont
Silvio J. DeCarli is an Associate General Counsel and Chief Litigation Counsel, with responsibility for all DuPont litigation world-wide. Previously, he was responsible for a varied litigation docket, with particular emphasis on mass tort and class action litigation.
In 2009, Silvio was one of two editors of the most recent treatise on the DuPont Legal Model, “The New Reality: Turning Risk into Opportunity through the DuPont Legal Model.”
Before joining DuPont in 1993, he was a partner in a leading New Jersey litigation firm. He received B.S. and M.S. degrees in engineering from Rensselaer Polytechnic Institute and his J.D. degree in 1983 from Rutgers Law School- Newark NJ. Back to top
Robert Giuffra, Litigation Partner, Sullivan & Cromwell LLP
Robert Giuffra is a partner in Sullivan & Cromwell’s Litigation Group. He joined the Firm in 1989, after serving as a law clerk to Chief Justice William Rehnquist of the U.S. Supreme Court and to Judge Ralph Winter of the U.S. Court of Appeals for the Second Circuit.
Mr. Giuffra is now recognized as one of the nation’s leading litigators. He focuses on “bet-the-company,” securities, white-collar criminal, commercial, insurance, banking and tax litigation. He is a member of Sullivan & Cromwell’s Management Committee and the coordinator of the Firm’s Securities Litigation practice.
For over twenty years Mr. Giuffra has represented prominent corporations and individuals in their most challenging civil and criminal cases, including at trial and on appeal in federal and state courts around the United States, before arbitration panels, and in investigations involving the SEC, the Department of Justice, U.S. and non-U.S. bank regulators, the U.S. Congress, the Internal Revenue Service, and the New York State Attorney General. He regularly advises senior executives and boards of directors in internal governance matters.
Mr. Giuffra has participated in litigations and government investigations arising out of the recent financial crisis, the bankruptcy of Enron, the accounting fraud at HealthSouth Corporation, and specialist trading on the New York Stock Exchange. He has represented many of the world’s leading financial institutions, including Bank of America, The Bank of New York, Citigroup, Goldman Sachs, ING, Morgan Stanley, Natixis, Société Générale and UBS. His corporate clients have included Biovail, CA, Exxon, Philips Electronics, Porsche, Tenaris, Tudor Investment Corporation, UnitedHealth Group, and Vornado Realty Trust. He represented Société Nautique de Genève, the two-time defender of the America’s Cup sailing trophy. His individual clients have included CEOs lawyers and senior government officials Many of his most important matters are resolved without public attention. Back to top
Kathleen McCarthy, Managing Director, Head of Litigation RBS Americas
Kathleen McCarthy is a Managing Director and the Head of Litigation at RBS Americas where she has responsibility for consumer and investment banking and capital markets litigation. Before joining RBS in late 2011, she spent more than ten years at Citigroup Global Markets Inc, where she was a Managing Director and Associate General Counsel. At Citigroup, she represented the bank in litigation, arbitrations and regulatory matters involving its capital markets business, broker-dealer and investment bank. Kathleen began her legal career as a litigation associate at Kirkland & Ellis LLP. She received her BA with honors from Northwestern University and her JD with honors from The University of Chicago Law School.
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Mark Shelton, Group Managing Director and Americas General Counsel, UBS
Mark Shelton is a Group Managing Director at UBS AG, the Global Head of Investigations, and the Americas General Counsel. He joined UBS in May 2003 in the legal department for Wealth Management Americas, where he became General Counsel, and later served as General Counsel for the Investment Bank in Americas before becoming responsible for the provision of legal services to all businesses in the Americas. In his current role Mark also is responsible for regulatory investigations globally. Mark was appointed to the Board of Directors of the Securities Investor
Protection Corporation by President George W. Bush, where he still serves. Before joining UBS, Mark was a partner at Wilmer, Cutler & Pickering in Washington, D.C. His practice focused on broker‐dealer regulation and enforcement. While at Wilmer, he was an adjunct professor at the Georgetown University Law Center, teaching a class on securities regulation. Mark worked in the Office of General Counsel at the SEC and
clerked on the Federal Court of Appeals for the 8th Circuit. He graduated from the University of Virginia School of Law, where he was an editor of the Virginia Law Review. Back to top
Betty Whelchel, General Counsel - CIB Americas at BNP Paribas
Betty A. Whelchel is the General Counsel for BNP Paribas, Corporate and Investment Banking Division, in the Americas. In this capacity, she is responsible for the legal coverage of the Bank’s corporate and investment banking activities in North and South America and the management of legal divisions including approximately 100 personnel.
Prior to joining BNP Paribas, Betty worked with Deutsche Bank AG from 1990-2004, first as the Bank’s Deputy General Counsel for the United States and then as global General Counsel for Deutsche Asset Management. From 1984-1990, Betty was an attorney with Shearman & Sterling, where she spent two years in Tokyo and was admitted to the Japanese bar as a gaikokuho-jimu-bengoshi. Betty began her career at U.S. Department of the Treasury as an Attorney-Advisor in the Treasury Honors Program from 1981-1984. At the Treasury, among other things, she was the staff attorney to the Depository Institutions Deregulation Committee and worked on various efforts to rationalize regulation of US and international financial markets.
Betty is a 1981 graduate of Harvard Law School. She is a member of the New York and District of Columbia bars and of the Association of the Bar of the City of New York (“ABCNY”). At ABCNY, she has served as Chair of the Foreign and Comparative Law Committee and as co-Chair of the Subcommittee on General Counsel for the Task Force on the Lawyer’s Role in Corporate Governance.
Betty lives in Brooklyn, New York, with her husband, Doug Kruse, and their daughter. Back to top