Section Program

Wednesday, January 20, 2021 – Part I

9:00 a.m. – 5:30 p.m.

Thursday, January 21, 2021 – Part II

9:00 a.m. – 11:30 a.m.



Business Law in a Virtual World: Lawyering During & After the Pandemic

Our program will address virtual business topics arising during the quarantine and beyond, commencing with electronic signature issues under New York, federal and international law and continuing with virtual business law topics such as SEC COVID guidance. We’ll cover the latest and best practices on virtual business law topics.

David S. Caplan Award &  Guided Beer Tasting: Ommegang  Game of Thrones Beer Tasting on Inauguration Day, or, Bran Stark vs. Joe Biden

This event will be held at the end of the day on Wednesday, January 20 at 4:15 p.m. – 5:30 p.m.  It will include the presentation of the David S. Caplan Award for Meritorious Service, followed by a Guided Tasting of Games of Thrones Beers and other products from Brewery Ommegang, located in World Famous Cooperstown, NY.

Learn more about Game of Thrones Beer and where you can purchase it here:

Registration for the CLE program will automatically register you for the reception and beer tasting.  You may also join the reception without registering for the program by contacting Gina Bartosiewicz at [email protected]

Section Officers

Section Chair

Anthony Q. Fletcher, Esq.
Law Office of Anthony Q. Fletcher, Esq.

Section Vice-Chair & Program Chair

Anastasia T. Rockas, Esq.
Skadden, Arps, Slate, Meagher & Flom LLP.

Section Treasurer

Thomas M. Pitegoff, Esq.
Offit Kurman, P.A.

Section Secretary

Jessica D. Parker, Esq.
Credit Suisse

Wednesday, January 20, 2021

7.0 MCLE Credits- 6.0 Areas of Professional Practice; 1.0 Ethics

This program is transitional and is suitable for all attorneys including those newly admitted


9:00 AM – 9:10 AM



Anthony Q. Fletcher, Esq. | Law Office of Anthony Q. Fletcher, New York, NY
Anastasia T. Rockas, Esq. | Skadden, Arps, Slate, Meagher & Flom, LLP., New York, NY


9:10 AM – 10:30 AM

Virtual Regulatory Issues

Securities Regulation Committee

Regulators address novel regulatory issues arising from businesses working virtually during and after the pandemic.


Robert L.D. Colby, Esq. | FINRA, Washington, D.C.
Kenneth J. Haim, Esq. | New York Attorney General’s Office, New York, NY
Christopher Mulligan, Esq. | U.S. Securities and Exchange Commission, Washington, D.C.
Rachel Kaplan Reicher, Esq. | U.S. Commodity Futures Trading Commission, Washington, D.C.


Peter W. LaVigne, Esq. | Goodwin Procter, LLP., New York, NY

1.5 Credits in Areas of Professional Practice


10:30 AM – 10:40 AM



10:40 AM – 12:00 PM

Multi-Jurisdictional Panel on Electronic Signature Issues

Multi-Jurisdictional Panel on Electronic Signature Issues: Legal experts on electronic signature laws will address the legal requirements under federal, EU, Luxembourg, Delaware and New York law during and after the pandemic.


Gary Cywie, Esq. | Elvinger Hoss Prussen, Luxembourg
Elizabeth S. M. Caires, Esq. | DLA Piper, Dallas, TX
Andrew Grant, Esq. | DLA Piper, Washington, D.C.
Michael A. de Freitas, Esq. | William C. Moran & Associates, P.C., Williamsville, NY
James D. Honaker, Esq. | Morris, Nichols, Arsht & Tunnell, Wilmington, DE


Trudi Seery Gilligan, Esq. | Citi Private Advisory, LLC., New York, NY

1.5 Credits in Areas of Professional Practice


12:00 PM – 12:10 PM



12:10 PM – 1:00 PM

What Every State Court Practitioner Should Know About Bankruptcy: Tips, Traps and How the Pandemic Has Impacted the Bankruptcy Courts

Bankruptcy Law Committee

Bankruptcy issues arise in virtually every area of state court practice including commercial litigation, real estate, matrimonial, personal injury and medical malpractice, landlord/tenant, and decedents’ estates. The panelists will provide a condensed overview of key bankruptcy issues that state court practitioners should be aware of including deadlines, the automatic stay, proofs of claim, and objections to discharge, as well as provide tips and traps for the non-bankruptcy lawyer. The presentation will also cover the impact of the pandemic on bankruptcy filings and the administration of bankruptcy cases in the Bankruptcy Court.


Lori Lapin Jones, Esq. | Lori Lapin Jones, PLLC., Great Neck, NY
Holly Holecek, Esq. | LaMonica Herbst & Maniscalco, LLP., Wantagh, NY

1.0 Credit in Areas of Professional Practice


1:00 PM – 1:10 PM



1:10 PM – 2:30 PM

Securities Litigation 2020: A Year in Review

Securities Regulation Committee

Securities litigators with Skadden, Arps, Slate, Meagher & Flom LLP will provide a securities litigation update with a focus on pandemic related litigation.


Thania Charmani, Esq. | Skadden, Arps, Slate, Meagher & Flom, LLP., New York, NY
William O’Brien, Esq. | Skadden, Arps, Slate, Meagher & Flom, LLP., New York, NY

1.5 Credit in Areas of Professional Practice


2:30 PM – 2:40 PM



2:40 PM – 3:30 PM

Keeping Lawyers Happy During COVID – Ethical Considerations

Lawyers Assistance Program

The program will address mental health issues and substance use disorders in the legal profession and explore how the pandemic has created additional stressors on the practice of law. Ethics obligations and requirements will be discussed as well how to find help and support for yourself or a colleague during these challenging times.


Hon. Sarah L. Krauss (Ret.) | Chair, Substance Use Disorder Working Group of the Task Force on Attorney Well-Being, New York, NY
Meredith S. Heller, Esq. | Law Office of Meredith S. Heller, PLLC.; Chair, Emotional Well-Being Working Group of the Task Force on Attorney Well-Being, New York, NY

1.0 Credit in Ethics


3:30 PM – 3:40 PM



3:40 PM – 4:05 PM

When the Import Tariff Carousel Stops on Alcohol from the EU

Wine, Beer and Spirits Committee

Wine, Scotch and other alcoholic beverages from the EU are now subject to a 25% tariff at US ports, the latest retaliation in a long-lasting international trade dispute over government subsidies. Importers, restaurants and consumers are all feeling the effects. How did we get here, and could there by a breakthrough under the Biden administration?


Asher Rubinstein, Esq. | Gallet Dreyer & Berkey, LLP., New York, NY

0.5 Credits in Areas of Professional Practice


4:15 PM – 5:30 PM

David S. Caplan Award & Guided Beer Tasting: Ommegang Game of Thrones Beer Tasting on Inauguration Day, or, Bran Stark vs. Joe Biden

Presentation of the David S. Caplan Award for Meritorious Service, followed by a Guided Tasting of Games of Thrones Beers and other products from Brewery Ommegang, located in World Famous Cooperstown, New York. Learn more about Game of Thrones Beer and where you can purchase it here:


Thursday, January 21, 2021

1.0 MCLE Credit- 1.0 Areas of Professional Practice

This program is transitional and is suitable for all attorneys including those newly admitted


9:00 AM – 9:10 AM



Anthony Q. Fletcher, Esq. | Law Office of Anthony Q. Fletcher, New York, NY
Anastasia T. Rockas, Esq. | Skadden, Arps, Slate, Meagher & Flom, LLP., New York, NY


9:10 AM – 10:00 AM

Update from the Charities Bureau: Nonprofit Organizations & the Attorney General Facing the Challenges of the COVID-19 Pandemic

Not-for-Profit Corporations Committee

Karin Kunstler Goldman, Deputy Bureau Chief of the NYS Attorney General’s Charities Bureau will discuss the following:

  • Governance During the Pandemic
  • Attorney General’s Charities Bureau Guidance During the Pandemic
  • Electronic Filings
  • Operational Challenges
  • Financial Challenges
  • Enforcement Issues

Karin Kunstler Goldman, Esq. | Deputy Bureau Chief – Charities Bureau, Office of the New York State Attorney General, Albany, NY

1.0 Credit in Areas of Professional Practice


10:00 AM – 11:30 AM

Business Best Practices in a Post-COVID World

Franchise, Distribution and Licensing Committee

This topic will examine COVID-19’s impact on franchising to date and consider strategy implications and opportunities going forward from a marketing, operations, sales and franchisee relationship standpoint.


Mark Siebert | CEO, iFranchise Group, Homewood, IL


11:30 AM




$149: Section Member | $179: NYSBA Member | $299: Non-NYSBA Member

REGULAR REGISTRATION (1/1/21 and after)

$199: Section Member | $239: NYSBA Member | $399: Non-NYSBA Member

IMPORTANT: For those of you that wish to attend multiple Section or Committee programs, we are extending a discount of 25% off the pricing of 2 or more programs, however you must contact our MRC Department directly and register over the phone.


If you have questions please contact us at 800.582.2452 | [email protected]

Hours: Monday – Friday | 8:00 a.m. – 5:30 p.m.

Robert Colby

Robert L.D. Colby, Esq.


Washington, D.C.
As Chief Legal Officer of FINRA, Robert Colby oversees FINRA’s rulemaking, interpretive, and corporate legal functions, as well as FINRA’s Appellate Office, Office of Financial Innovation, and Departments of Advertising, Corporate Financing, and Dispute Resolution. Previously, Mr. Colby was a partner in the law firm of Davis Polk & Wardwell LLP, where he advised on regulatory and compliance matters for financial institutions and markets. Before joining Davis Polk, Mr. Colby served as Deputy Director in the SEC’s Division of Trading and Markets. In that capacity, he was responsible for the regulation of broker-dealers, markets, and clearing organizations. Before serving as Deputy Director of the Division, Mr. Colby was Chief Counsel, and Chief of the Market Structure Branch. Mr. Colby received his J.D. cum laude from Harvard Law School and his undergraduate degree summa cum laude from Bowdoin College.

Gary Cywie

Gary Cywie, Esq.

Elvinger Hoss Prussen

Gary Cywie specialises in Technology. His particular areas of expertise are the drafting and negotiating of IT outsourcing agreements in the financial services and insurance sectors, software licence and maintenance agreements and commercial contracts. In addition, he specialises in data protection and privacy, internet and e-commerce, electronic signature, electronic archiving, IT security and media and telecommunications. He also handles IP matters.

Gary is also involved in Fintech developments, more particularly in relation to digital ledger technologies (DLT) such as blockchains, smart contracts and virtual currencies.

Career and Memberships
-Member of the IT Committee of AMCHAM Luxembourg (American Chamber of Commerce in Luxembourg).
-Member of the APDL (Association pour la Protection des Données au Luxembourg).
-As a former member of ALCO (Association Luxembourgeoise des Compliance Officers), participated in the drafting of the discussion paper on Blockchain and CryptoAssets of the blockchain and crypto-assets working group.
-Member of the Luxembourg Bar since 2006.
-Member of the Brussels Bar from 2003 until 2014.

-Licence en droit from the Université de Liège (Belgium).
-Postgraduate certificate in Internet Strategic Management from the Laboratory for New Information and Communication Technologies Studies in collaboration with the Université de Liège (Belgium).


Michael A. de Freitas, Esq.

William C. Moran & Associates, P.C.

Williamsville, NY
Mr. de Freitas is a member of the firm of William C. Moran & Associates, P.C. in Williamsville, New York. He primarily represents not-for-profit organizations in corporate, tax exemption, regulatory, and transactional matters. He graduated from College of the Holy Cross and Cornell Law School. He is a member of the Corporation Law and Not-for-Profit Corporation Law Committees of the Business Law Section, chairs the Section’s Legislative Affairs Committee, and has regularly co-chaired the NonProfit Law continuing-education seminars of the Association.


Andrew W. Grant

DLA Piper

Washington, D.C.
Andrew W. Grant is an associate in the Washington, DC, office of DLA Piper. Mr. Grant assists financial institutions and fintech companies in complex regulatory and compliance matters with a focus on eCommerce issues and an interest in digital currencies, blockchain technologies, and smart contracts. In particular, Mr. Grant’s practice includes analyzing electronic signature and record platforms to ensure delivery, presentation, management, and execution of electronic signatures and records comply with all applicable laws, regulations, and industry standards, including the Electronic Signatures in Global and National Commerce Act (ESIGN), the Uniform Electronic Transactions Act (UETA), eNotary laws, and Fannie Mae and Freddie Mac eMortgage requirements.

Kenneth J. Haim

Assistant Attorney General, New York State Office of the Attorney General 

New York, NY
Kenneth Haim is the Registration Section Director and an Assistant Attorney General with the Investor Protection Bureau of the New York State Office of the Attorney General. The Investor Protection Bureau enforces the Martin Act, New York State’s securities law oversees the registration of securities personnel and franchise offerings in the state.  Mr. Haim manages the broker-dealer and investment adviser registration process including the Office’s recent initiative to modernize and streamline New York’s registration requirements.  Mr. Haim also handles a wide array of securities fraud enforcement matters.  Prior to joining the Office, Mr. Haim was counsel to the retail brokerage units of several broker-dealers primarily handling customer disputes and FINRA arbitrations.  Mr. Haim received his Juris Doctor degree from Brooklyn Law School.


Holly R. Holecek

Holly R. Holecek, Esq.

LaMonica Herbst & Maniscalco, LLP

Wantagh, NY
HOLLY R. HOLECEK, ESQ. is a partner in LaMonica Herbst & Maniscalco, LLP. Holly’s practice encompasses representation of parties in a variety of roles in Chapter 11 and Chapter 7 business and personal cases and appeals with a focus on representing bankruptcy fiduciaries. Among her notable cases, Holly has represented the Chapter 11 Trustee for Peninsula Hospital Center, the Chapter 7 Trustee for Crafts Retail Holding (Rag Shops), the Chapter 7 Trustee for Marc Drier, and the Liquidation Trustee for North General Hospital. Holly is a member of the Chapter 11 Lawyers’ Advisory Committee (Eastern District of New York) and a past Chair (2014-2016) and past Vice Chair (2012-2014) of the Bankruptcy Law Committee of the Nassau County Bar Association.

Holly was selected to Super Lawyers (2020) and as a New York Metro “Rising Star” by Super Lawyers (2014-2019). In 2016, Holly was an honoree of the Outstanding Women in Law by the Center for Children, Families and the Law at Hofstra University’s Maurice A. Dean School of Law. Holly received her J.D. from St. John’s University School of Law where she was the recipient of a full academic St. Thomas More Scholarship and was recognized for her exceptional moot court competition achievements. Holly received her B.A. magna cum laude from Wellesley College.

James D Honaker

James D. Honaker, Esq.

Morris, Nichols, Arsht & Tunnell

Wilmington, DE
Jim advises public companies, boards of directors and committees on Delaware corporation law issues, including corporate governance and fiduciary duties. In his practice, he advises on corporate governance issues under Delaware law, including in the areas of proxy contests, oversight and compliance, director and officer indemnification and director compensation.

Drawing on his experience with private company financings and acquisitions, he also counsels boards and committees of independent directors on merger and acquisition transactions. His clients hail from a range of industries, including the energy, manufacturing, financial services, media, healthcare, and technology sectors.

Since 2015, Jim has served as a member of the Corporation Law Council of the Delaware State Bar Association, and in that role assists with drafting amendments to the Delaware General Corporation Law (“DGCL”). Since 2006, he has co-authored a series of articles to annually chronicle the amendments to the DGCL. Jim also served on a committee that drafted the Annotated Model Certificate of Designations for Preferred Stock of a Public Corporation, which is a publication of the Business Law Section of the American Bar Association.

Since 2020, Jim has been selected for inclusion in The Best Lawyers in America, and designated “Lawyer of the Year” for mergers and acquisitions law in the 2021 edition. He has also been mentioned in The Legal 500 US for M&A work as Delaware counsel.

Lori Lapin Jones

Lori Lapin Jones, Esq.

Lori Lapin Jones PLLC

Great Neck, NY
Lori Lapin Jones has practiced bankruptcy law for over thirty-five years. In 2005, Jones founded Lori Lapin Jones PLLC in Great Neck, New York where she focuses her practice on her roles as a bankruptcy trustee, fiduciary, mediator and attorney for parties in bankruptcy cases. Prior to the formation of her firm, Jones spent seventeen years in private practice at the New York City law firms of Dewey Ballantine and Luskin, Stern & Eisler LLP where she represented parties in out-of-court restructurings and bankruptcy cases around the country. Jones began her career as an attorney in the Manhattan District Counsel’s Office of the Internal Revenue Service following which she served as a law clerk to the Honorable Tina L. Brozman, United States Bankruptcy Judge for the Southern District of New York.

In 2005, Jones was appointed as a panel Chapter 7 Trustee in the Eastern District of New York. She has served as Chapter 11 and Chapter 7 trustee in numerous cases including, most notably, the bankruptcy cases of Peninsula Hospital Center and Peninsula General Nursing Home, Burritoville Restaurants, Rag Shops, and General Fiber Communications, Inc. She has also served as Liquidation Trustee, Plan Administrator, Receiver (federal court) and Independent Board Member. Jones is a member of the Chapter 11 Lawyers Advisory Committee for the Eastern District of New York (former Vice Chairwoman) and a member of the Second Circuit Judicial Council Committee on Civic Education & Public Engagement. Jones serves on the panel of mediators for the United States Bankruptcy Courts for the Southern and Eastern Districts of New York and is frequently appointed to mediate bankruptcy and commercial disputes.

Jones is a Fellow of the American College of Bankruptcy. She is a frequent presenter on bankruptcy topics for state, local and national bar groups. She co-authored a column on bankruptcy law for the New York Law Journal from 2005-2008 and co-authored the book Creditors’ Committee Manual. Jones received her LL.M. degree from New York University Law School in 1986 and her J.D. degree magna cum laude from Nova Southeastern School of Law in 1982 where she was Executive Editor of the Nova Law Review. Jones is admitted to practice law in the states of New York and Florida, and the district courts for the Southern and Eastern Districts of New York.

Jones serves as the Vice Chairwoman of the Board of Directors of the Organization for Autism Research. She was recognized as one of the Top 25 Businesswomen of Excellence by the National Association of Women Business Owners (Long Island chapter) and for three years was named one of the Top 50 Most Influential Women in Business on Long Island by Long Island Business News. In 2019, Jones was the recipient of the Renaissance Award from the New York Institute of Credit.

Peter W LaVigne

Peter W. LaVigne, Esq.

Goodwin Procter LLP

New York, NY
Peter LaVigne is a partner in Goodwin’s Financial Industry and Fintech practices. He advises clients involved in the distribution of securities as issuer or intermediary at every level, public and private, and his expertise includes broker-dealer and securities regulation and the Municipal Advisor Rules. Mr. LaVigne advises banks, broker-dealers, investment advisers, private fund managers and crowdfunding and other financial technology platforms in navigating evolving regulatory and compliance matters. As the Chair of the Business Law Section of the New York State Bar Association and a member and former Chair of its Securities Regulation Committee, Mr. LaVigne keeps a close watch over changes to laws and rules affecting the financial services industry.


Mr. LaVigne’s experience includes the registration of new broker-dealers, as well as advice concerning exemptions from registration, mergers and acquisitions involving broker-dealers and the rules of FINRA concerning change in control filings. He represents underwriters and placement agents with respect to FINRA rules applicable to public and private offerings, including rules governing new issues, IPO allocations and research analysts, trade reporting, Regulation M, Rule NMS and the short sale rules. He has also counseled broker-dealer firms in responding to examinations, inquiries and Wells notices. He advises issuers on the use of securities exemptions and assists them in structuring agreements with placement agents and arrangements with third-party brokers permitting the registration of issuer employees on an independent contractor basis.

Mr. LaVigne also advises banks, investment advisers and private fund managers, as well as broker-dealers, concerning the evolving municipal advisor registration requirements and helps fintech innovators to identify and navigate the financial regulations that apply to their businesses.

William O'Brien

William O’Brien, Esq.

Skadden, Arps, Slate, Meagher & Flom LLP

New York, NY
Mr. O’Brien has participated in commercial arbitrations before the AAA and regulatory proceedings before the SEC and FINRA.

Mr. O’Brien has represented clients, both as plaintiffs and defendants, in actions involving a variety of federal and state statutes, including the Securities Exchange Act of 1934, the Securities Act of 1933, the Racketeering Influenced and Corrupt Organizations Act (RICO), the Delaware General Corporation Law and New York’s Business Corporation Law. He also has litigated a wide range of common law claims, including alleged breaches of contract, breaches of fiduciary duties, fraud, negligence and tortious interference.

Among others, Mr. O’Brien has represented:
• BRF S.A., a Brazilian food company, in contesting federal securities fraud claims brought under the Securities Exchange Act of 1934; • JPMorgan Securities LLC in responding to common law claims that arose from a bond offering involving OGX Petróleo e Gás Participações S.A., a Brazilian oil and gas company; • JPMorgan Securities LLC and other financial institutions in defending against Securities Act claims stemming from an alleged bribery and corruption scandal involving Petrobras, Brazil’s state-owned oil and gas company; • Citigroup Global Markets, Inc., Goldman, Sachs & Co. and other financial institutions in opposing Securities Act claims arising from certain bond and equity offerings by Cobalt International Energy, Inc.; • Compuware Corporation and its board of directors in defending against breach of fiduciary duty claims arising from the company’s acquisition by Thoma Bravo, LLC; • The Royal Bank of Scotland Group plc and certain of its affiliates in defending against CDO-related lawsuits filed in both state and federal court; • Citigroup Inc., Discover Financial Services and Student Loan Corp. in defeating federal securities fraud claims arising from accounting-related disclosures;

• UBS in defending against RMBS-related claims brought under the Securities Act of 1933 and the Blue Sky Laws of Virginia and the District of Columbia; • UniCredit S.p.A. in its defense of Madoff-related litigation, which was named among the top matters in the Litigation & Dispute Resolution category in the Financial Times’ 2013 “US Innovative Lawyers” report; • former officers and directors of Fremont General Corporation, a subprime lender, in defeating federal securities fraud claims stemming from the decline of the company’s residential mortgage lending business; • Citigroup Global Markets Inc., Goldman Sachs Credit Partners L.P., Deutsche Bank Trust Company Americas and Deutsche Bank Securities Inc. in a trial arising from a $2 billion financing facility for Solutia, Inc.; • an underwriting syndicate of financial institutions in multiple shareholder actions arising from the collapse of WorldCom, Inc., the global telecommunications provider; and • American Funds Distributors, Inc. in a seven-day enforcement hearing before the NASD (now FINRA).

Rachel Kaplan Reicher

Rachel Kaplan Reicher, Esq.

U.S. Commodity Futures Trading Commission

Washington, D.C.

Rachel Kaplan Reicher is the Chief Counsel of the Division of Market Oversight (DMO) at the U.S. Commodity Futures Trading Commission (CFTC), as well as the Deputy Director of the Chief Counsel Unit of DMO.  She leads the Chief Counsel Unit in advising DMO on all law and policy issues affecting DMO, including the division’s oversight of the health and market structure of the commodity futures, options and swaps markets. Rachel and her team support all DMO policy and staff action documents as well as develop complex rulemakings on a wide range of topics affecting DMO. The Chief Counsel Unit suggests enhancements to policy to account for changes in market structure, risk, innovation and other market developments.

Prior to joining the CFTC, for fourteen years, Rachel advised a wide variety of clients on federal regulatory policy related to derivatives as Counsel at Skadden and Associate at Kirkland & Ellis.  She represented clients before the CFTC and the Securities and Exchange Commission, the Department of the Treasury, the Federal Reserve Board and Congress on a broad range of issues arising under Titles II, VII and VIII of the Dodd-Frank Act and the Commodity Exchange Act.

Rachel earned her J.D. from the Boston University School of Law and graduated cum laude from Tufts University with Bachelor’s degrees in Environmental Science and Psychology. Rachel is a member of the board of directors of Kol Shalom in Rockville, Maryland.

Asher Rubinstein

Asher Rubinstein, Esq.

Gallet Dreyer & Berkey, LLP

New York, NY
Asher Rubinstein’s practice focuses on domestic and international asset protection, wealth preservation, estate planning, tax planning, tax controversy, offshore tax compliance, and related litigation. Mr. Rubinstein is a recognized expert on offshore entities, foreign banking and IRS compliance issues. Mr. Rubinstein also represents and advises wine, food and restaurant clients.

Mr. Rubinstein provides legal representation to clients on issues including the preservation and protection of assets and private wealth, domestically and offshore, income tax planning, estate planning and asset-protection-related litigation in state and federal courts on the trial and appellate levels. Mr. Rubinstein has represented clients in a range of transactions including cross-border business ventures and investments, banking and finance. He has established domestic and offshore investment funds, partnerships and joint ventures. He has provided advice and consultation regarding U.S. tax, regulatory and other governmental compliance, as well as drafted asset protection legislation for a foreign government.

Mr. Rubinstein has represented foreign and domestic clients including high net worth individuals, celebrities, art collectors, entrepreneurs, hedge fund owners, financial professionals, bankers, international investors, internet executives, designers, restaurateurs, wine importers, multinational corporations and family offices.

Mr. Rubinstein also represents and advises wine and spirits producers, importers, restaurant owners and others in the food, wine and hospitality industries.


David S. Caplan Award for Meritorious Service 

New York State Bar Association Business Law Section 2021


James W. Everett, Jr.
New York State Department of Financial Services

Jim has served as the Capital Markets Counsel to the New York State Department of Financial Services since June 2001.  He represents and advises the Department’s senior management, Capital Markets Division, and other divisions on investment law concerning domiciled insurers, reinsurance trusts, banks and bank holding companies and benefit plan investments. He has represented DFS on the National Association of Insurance Commissioners’ Valuation of Securities Task Force, of which he has been Vice-Chair, and on statutory accounting and risk based capital issues.

As Vice-Chair of the NAIC’s Corporate Governance Working Group, Mr. Everett wrote the first draft and oversaw the drafting of the NAIC’s Corporate Governance Annual Disclosure model law and regulation.  He wrote the department’s amendments to the regulation of pubic retirement systems’ fiduciary regulation and the New York City Comptroller’s reforms of city retirement system investment procedures.

Jim has served as chair of NYSBA’s Business Law Section and a member of its Executive Committee.  He is a member of the International Association of Insurance Supervisors.  He is also an Observer of the Institute of International Banking Law & Practice Government Letter of Credit project and of the Uniform Law Commissioners’ Uniform Commercial Code & Emerging Technologies Committee. Before joining the department, Mr. Everett served as Vice-President and Counsel for State Proceedings for the Securities Industry Association (SIFMA’s predecessor) and Assistant Counsel to the New York State Senate Majority Leader.

Jim has been published on Uniform Commercial Code Articles 2, 2A, 3, 8, and 9.

Jim earned his LL.M., with honors, in Banking Law from Boston University, his J.D. from the University at Buffalo with honors in securities regulation, and his B.A. from the College of Wooster (Ohio) with honors in political science (international affairs).



About the David S. Caplan Award for Meritorious Service

The Business Law Section of the New York State Bar Association, in order to recognize the importance and value to the Business Law Section of the many hours of volunteer service provided to the Section and its Committees by its members, established the David S. Caplan Award for Meritorious Service. The award is named in honor of Mr. Caplan, former Chair of the Technology and Venture Law Committee, who, despite his personal physical challenges, was always willing to volunteer his time, his effort, and his ideas for the benefit of the Section.

The Caplan Award is presented annually at the Annual Meeting of the Business Law Section held in conjunction with the annual meeting of the New York State Bar Association. The recipient of the award is selected by a committee consisting of the three most immediate past chairs of the Section, with the person who was the Chair three years earlier being the chair the Committee. If any such member of the Committee is unable or unwilling to serve, the Chair of the Section, in consultation with the other executive officers of the Section, will select an alternate member of the Committee for that year, and if required, designate the Committee Chair.


We’re pleased to announce an additional 25% discount on all Books, eBooks, Online Forms and Pamphlets currently available in our online store during Annual Meeting.

Use discount code: PUBAM21 during the checkout process.


  • The discount code (PUBAM21) expires on January 29 on the final day of Annual Meeting
  • The 25% discount will be taken off of your qualifying process based on your NYSBA Membership status
  • On-Demand CLE programs available in the online store do not qualify for the 25% discount.




Practical Skills Series: Business/Corporate and Banking Law Practice 2020-21

Regular Member Price: $125.00




Practical Skills Series: Limited Liability Companies 2020-21

Regular Member Price: $125.00




A Guide to Diversity and Inclusion in the 21st Century Workplace, 2nd Edition

Regular Member Price: $22.00








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