Attorney Profile

Shari A. Brandt

Shari Brandt

Richards Kibbe & Orbe LLP
200 Liberty Street, 29th Floor, One World Financial Center
New York, NY 10281

New York

New York (NY)

Contact Contact Shari A. Brandt
T: 212-530-1874
F: 212-530-1801

Visit: www.rkollp.com
Practice Areas: Business Litigation (40%), Securities Litigation (40%), Criminal Defense: White Collar (20%)

Business Litigation

Securities Litigation

Criminal Defense: White Collar

Profile

Shari Brandt concentrates on complex litigation and securities enforcement defense work with a special focus on capital markets and the financial industry.  Ms. Brandt regularly represents financial institutions, corporate officers, securities professionals, and other individuals in civil litigations at the federal and state level, arbitrations, and mediations, as well as in investigations by the SEC, CFTC, FINRA and other regulatory bodies.  Recent representative matters include representing a bond insurer in numerous litigations and regulatory inquiries concerning auction rate securities and residential mortgage-backed securities, representing a brokerage firm in connection with regulatory inquiries into LIBOR rates as well as credit default swaps, and representing an independent distribution consultant in connection with the administration of a market timing Fair Fund.  Ms. Brandt also writes and lectures on ethical issues of importance to litigators and their clients.  

Ms. Brandt was recently recently recommended by The Legal 500 United States (2011 Edition) and recognized by The Legal 500 United States (2010 Edition) as possessing a “deep knowledge of the subject matter, sound judgment, [and] great instincts and[for being] very client service oriented.”  

Under the rules of certain jurisdications, including NY, this statement may constitute Attorney Advertising.

Selected To

New York Rising Stars 2011 - Metro Edition

About Shari Brandt

Admitted: 1997, New York

Professional Webpage: www.rkollp.com/attorneys-Shari-Brandt-Bio.html

Honors and Awards:

  • Ms. Brandt was identified as Recommended in the litigation, white-collar defense and regulatory section of, The Legal 500 United States - 2011 Edition
  • Ms. Brandt was identified as Recommended by The Legal 500 United States - 2010 Edition in the litigation, white-collar defense and regulatory section which described Ms. Brandt as possessing a "deep knowledge of the subject matter, sound judgment, [and] great insticts and[for being] very client service oriented.", Legal 500, 2010

Scholarly Lectures and Writings:

  • Shari Brandt moderated an interactive panel at the 6th Securities Litigation:  Managing the Newest Risks and Exposures conference put together by IQPC.  The panel was entitled "The Judicial Panel:  Valuable Insights from the Bench", and Ms. Brandt's contribution focused on subprime litigation and the impending influx of structured productions litigation and credit default swaps claims, as well as new investor claims and the success of defense strategies related to non-traditional claimants., Moderator, 5th Securities Litigation: Managing the Newest Risks and Exposures, 2009
  • The webinar covered critical steps that lawyers should take when conducting internal investigations, key considerations before undertaking a dual representation of a corporate client and one or more employees, as well as how to protect the firm and corporate clients when undertaking a dual representation., Presenter, Webinar Presentation: "What Litigators Need to Know about Dual Representation and Potential Conflcits of Interest During Internal Investigations - Understanding the Impact of United States v. Nicholas, 2009
  • In its January 2010 issue, Financier Worldwide has gathered the opinions of the corporate advisory and dealmaking community to explore their insights into current and emerging trends in its "Market Outlook 2010." Shari A. Brandt and James Q. Walker are featured here discussing the intensifying regulatory challenges that public companies and their senior executives face and ways to minimize exposure to liability., Market Outlook 2010, Financier Worldwide, 2010
  • "Failure to Follow U.S. Electronic Discovery Rules Carefully May Lead To Heavy Sanctions For Parties And Their Lawyers" authored by Richards Kibbe & Orbe LLP partners Shari A. Brandt and James Q. Walker was published in the May 2010 edition of Financier Worldwide. This article describes the importance of business people working closely with in-house and outside lawyers from the outset of a litigation to preserve and collect documents, provides guidance on steps to ensure preservation and production responsibilities are carried out appropriately, and discusses several cases illustrating the potentially significant cost of failing to do so., Failure to Follow U.S. Electronic Discovery Rules Carefully May Lead to Heavy Sanctions for Parties and Their Lawyers, Financier Worldwide, 2010

Other Outstanding Achievements:

  • Clerkship, Honorable Robert D. Sack, United States Court of Appeals for the Second Circuit

Newsletters:

  • In United States v. Ruehle, Slip. Op. (9th Cir. Sept. 30, 2009), the Ninth Circuit reversed the suppression order issued in United States v. Nicholas, 606 F.Supp.2d 1109 (C.D.Ca. Apr. 2009) based on the lower court’s application of the wrong privilege standard, but left intact that portion of the Nicholas opinion suggesting that attorneys need to provide and document complete Upjohn warnings and avoid dual representations absent a written conflict waiver. The attached article is a short memorandum examining the important distinction drawn in Ruehle between application of federal and state privilege rules, and the Ninth Circuit’s reinforcement of the lessons learned from Nicholas., Ninth Circuit's Reversal of Evidence Exclusion in Broadcom Case Does Not Alter Lessons Learned Regarding Upjohn Warnings
  • A recent federal court decision, United States v. Nicholas, No. SACR 08-00139-CJC, -- F. Supp. 2d --, 2009 WL 890633 (C.D. Ca. Apr. 1, 2009), casts further doubt on whether a traditional Upjohn warning to an employee can be relied upon to protect a corporate client’s ownership of the attorney-client privilege, particularly if the corporate client’s lawyer had a prior attorney-client relationship with the employee or represents the employee concurrently.  What follows is a short memorandum examining this decision in the context of other decisions that have addressed similar privilege issues, and offering guidance on steps to take to increase the likelihood that the attorney-client privilege will be preserved when interviewing company employees., Issuing a Proper Upjohn Warning Will Not Cure Multiple Representation Conflicts, Friends And Clients Memorandum
  • Possible limitations on the protection provided by Upjohn warnings in light of the decision in United States v. Nicholas. , Can an Upjohn Warning Avoid Representational Ambiguity, NYSBA: Corporate Counsel Section

Educational Background:

  • Cornell University, A.B., 1992
  • Fordham University School of Law, magna cum laude, 1996
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