Aaron LipsonPartner, Special Matters and Government Investigations, King & Spalding
Aaron Lipson counsels public companies, investment advisers, broker-dealers, accounting firms, private funds, and individuals facing complex government investigations. Aaron also assists regulated entities with compliance matters and advises boards of directors with respect to independent investigations and disclosure matters.
A partner in our Special Matters and Government Investigations practice, Aaron brings nearly 15 years of experience as a senior enforcement official at the U.S. Securities and Exchange Commission (SEC) where he led the enforcement program for the SEC’s Atlanta Regional Office. Aaron oversaw a wide variety of investigations including those related to financial fraud, manipulative market practices, insider trading, cyber-intrusions, breaches of fiduciary duty, failures to disclose conflicts of interest, and unregistered offerings.
As an Associate Director in the SEC’s Division of Enforcement, Aaron supervised a team of over 60 attorneys, accountants and other professionals. In addition to having primary responsibility for all regional investigations, Aaron exercised significant oversight with respect to the SEC’s Wells process and whistleblower and cooperation programs.
Aaron also routinely partnered with federal and state law enforcement and regulatory agencies throughout the nation, including the U.S. Department of Justice, various U.S. Attorney’s Offices, the Federal Bureau of Investigation, the U.S. Secret Service, the U.S. Commodity Futures Trading Commission, the Consumer Financial Protection Bureau, the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, the U.S. Department of Labor, and the Public Company Accounting Oversight Board among others. These agencies regularly invited Aaron to conduct trainings for their staff on white collar investigative practices and emerging issues in financial regulation.
While at the SEC, Aaron was a senior manager in the agency’s Complex Financial Instruments Specialized Enforcement Unit, focusing on securitizations and the retail marketing of structured products. Aaron also led one of the SEC’s intra-agency working groups that focused on cross-border transactions as well as attorney and auditor liability. At times, Aaron represented the agency on the President’s Financial Fraud Task Force and the RMBS Working Group. In this capacity, Aaron played key roles in several of the most significant multi-agency coordinated investigations and criminal prosecutions arising from the financial crisis.
Aaron is also an adjunct professor at the Emory University School of Law, where he co-teaches an upper level class focused on securities enforcement and government investigations.
Prior to joining the SEC, Aaron was an associate from 2000 – 2004 at an Atlanta law firm specializing in financial services litigation.
Alicia OlmsteadGlobal Ethics & Compliance Consultant, Dell Inc.
Alicia is a Global Ethics & Compliance Consultant at Dell Inc. where she oversees the Conflict of Interest and Regional Ethics Manager Programs. Before working for Dell, Alicia was a Senior Ethics Program Advisor at USAA and the Assistant Integrity Officer for the City of Austin in Austin, Texas.
Alicia has presented at national conferences on the topic of ethics, is a participant in behavioral ethics research working groups, and is a Certified Compliance and Ethics Professional (CCEP). She holds a B.A. in German Literature from Brigham Young University and a M.S. in Organizational Leadership & Ethics from St. Edward’s University, which just goes to show that careers don’t always follow the path you think they will.
Alison Fragale Founder, Echelon Executive Leadership Associate Professor of Organizational Behavior University of North CarolinaAlison FragaleFounder, Echelon Executive Leadership Associate Professor of Organizational Behavior University of North Carolina
Alison Fragale educates and inspires audiences by discussing the science of psychology and organizational behavior in a relaxed, relatable way. Alison is the founder of Echelon Executive Leadership, which provides negotiation and leadership development services to organizations and their leaders. She is also the Mary Farley Ames Lee Fellow and Associate Professor of Organizational Behavior at the University of North Carolina at Chapel Hill’s Kenan-Flagler Business School, joining the faculty in 2004.
An award-winning teacher, Alison has served more than a decade as a speaker, instructor, or consultant on leadership, psychology and negotiation for executives in numerous organizations. Her clients include Russell Reynolds Associates, TPG Sixth Street Partners, @properties, Lowe’s Home Improvement, ExxonMobil, Schneider Electric, Eastman Chemical, AvalonBay, Post Properties, Navy Federal Credit Union, the U.S. Department of Veterans Affairs, and the U.S. Army, Air Force, Marine Corps, and Navy. Her instruction on the psychology of power and leadership is part of the required general officer curriculum in both the U.S. Army and Air Force.
Alison received her B.A. in Mathematics and Economics, magna cum laude, from Dartmouth College, where she recently concluded a nine-year term on the Board of Visitors of the Nelson A. Rockefeller Center for Public Policy and the Social Sciences. She also holds a Ph.D. in Organizational Behavior from the Stanford University Graduate School of Business. Prior to pursuing her Ph.D., Alison worked as a management consultant for McKinsey & Company, Inc.
Allison Greene-SandsChief Strategy Officer, Department of Defense
Allison Greene-Sands, PhD, is the Chief Strategy Officer at the Department of Defense (DoD) Sexual Assault Prevention and Response Office (SAPRO) where she oversees strategic planning, communications, and public affairs. Currently, she is on a special assignment at DoD’s Office of Force Resiliency (OFR) to develop strategic guidance on integrated prevention across the OFR portfolio, including sexual assault, sexual harassment, discrimination, hazing, bullying, suicide, and substance abuse.
In 2016, Dr. Greene-Sands received the Secretary of Defense Medal for Exceptional Civilian Service for her work at SAPRO that included a report to then President Obama on military sexual assault and a DoD-wide strategy to combat retaliation after a report of sexual assault or sexual harassment. She also served (2014-2016) as the DoD’s representative on the White House Task Force to Protect Students from Sexual Assault. Dr. Greene-Sands earned both her Master’s and PhD in International Studies from Old Dominion University, and her BA in Philosophy from Dartmouth College.
Andrea FalcionePrincipal and Head of Advisory Services, ReThink Compliance
Andrea is an attorney with over 20 years of legal and compliance experience in a number of different capacities. Most recently, she spent more than five years as Managing Director and Compliance & Ethics Solutions leader at PwC. Andrea is a frequent speaker at industry conferences and events, has led several compliance benchmarking studies, and is the author of many compliance-related whitepapers.
Brad Agle George W. Romney Endowed Professor, and Professor of Ethics and Leadership, Marriott School of Management at Brigham Young University (BYU)Brad AgleGeorge W. Romney Endowed Professor, and Professor of Ethics and Leadership, Marriott School of Management at Brigham Young University (BYU)
Brad Agle is the George W. Romney Endowed Professor, and Professor of Ethics and Leadership in the Marriott School of Business at Brigham Young University. A former president of the International Association for Business and Society, he currently serves on the editorial board of Business Ethics Quarterly, the advisory board of the RLG Group, the board of the BYU Management Society, as chair of the Wheatley Institution’s ethics initiative, and as founder and chairman of Merit Leadership. From 1992-2009 he was a professor at the University of Pittsburgh, and the inaugural director of the Berg Center for Ethics and Leadership.
Dr. Agle’s writings appear in the top academic journals in management and ethics, are highly cited, and frequently featured in prominent news outlets. His popular book The Business Ethics Field Guide was published in 2016. He is a recipient of multiple research, citizenship, and teaching awards, including Distinguished Professor of the Year honors, and has provided board and executive training for many organizations including Alcoa, Federated Investors, Mellon Financial, US Steel, and U.S. Marine Corps. He has been a guest on various programs including CNBC’s Morning Call, Power Lunch, and Closing Bell. He and his wife Kristi have four children and seven grandchildren.
C. Nathan DeWall Professor of Psychology and Director of the Social Psychology Lab, University of Kentucky.C. Nathan DeWallProfessor of Psychology and Director of the Social Psychology Lab, University of Kentucky.
C. Nathan DeWall is Professor of Psychology and Director of the Social Psychology Lab at the University of Kentucky. With David Myers, he is co-author of a series of introductory psychology textbooks published by Worth Publishers.
Nathan received his Bachelor’s Degree from St. Olaf College, a Master’s Degree in Social Science from the University of Chicago, and a Master’s degree and Ph.D. in Social Psychology from Florida State University. He received the 2011 College of Arts and Sciences Outstanding Teaching Award, which recognizes excellence in undergraduate and graduate teaching. In 2011, the Association for Psychological Science identified DeWall as a “Rising Star” for “making significant contributions to the field of psychological science.”
Nathan conducts research on close relationships, self-control, and aggression. With funding from the National Institutes of Health and the National Science Foundation, he has published over 150 scientific articles and chapters. Nathan’s research awards include the SAGE Young Scholars award from the Foundation for Personality and Social Psychology, the Young Investigator Award from the International Society for Research on Aggression, and the Early Career Award from the International Society for Self and Identity. His research has been covered by numerous media outlets, including “Good Morning America,” Newsweek, Atlantic Monthly, New York Times, Los Angeles Times, Harvard Business Review, and National Public Radio. Nathan blogs for Psychology Today and writes for the New York Times and Quartz. He has lectured nationally and internationally, including in Hong Kong, China, the Netherlands, England, Greece, Hungary, and Australia.
Dana Goldis Senior Counsel and Director of Education, Government Accountability Project
Dana Gold is Senior Counsel and Director of Education of the Government Accountability Project, the leading whistleblower advocacy organization protecting whistleblowers and ensuring their disclosures make a difference. Dana educates diverse audiences about the essential role whistleblowers play in promoting accountability and democracy, and facilitates partnerships with key stakeholders, including journalists, attorneys, activists, ethics and compliance professionals, academics and others. She is also currently the lead counsel for the three Department of Homeland Security whistleblowers who have disclosed systemic risk of harm to both children and adult migrants in detention. Prior to her current role with GAP, Dana served as GAP’s Director of Operations and as a staff attorney representing whistleblowers who disclosed fraud and serious public health, safety, and the environmental threats on the Trans-Alaskan pipeline and at contractor-operated nuclear sites, including Hanford, Rocky Flats, and Los Alamos.
In addition to having represented and worked with dozens of whistleblowers over the past 25 years, Dana co-founded and directed the Center on Corporations, Law & Society at Seattle University School of Law, served as Program Director for Corporate Governance Executive Education at Boston College Law School, and served as an employee advocate member of the Hanford Concerns Council, a unique alternative dispute resolution forum that resolved complex whistleblower issues at the Hanford nuclear site in Washington state. Dana, a former Network Fellow with Harvard University’s Edmond J. Safra Center for Ethics, has had her work featured in The Washington Post, Slate, The Hill, CNN, and WNYC’s On the Media.
Earnie BroughtonSenior Advisor, Ethics & Compliance Initiative
Earnie Broughton is Senior Advisor to the Ethics & Compliance Initiative. He previously served as Director of the M.B.A. and Executive Education programs in the Greehey School of Business at St. Mary’s University in San Antonio from 2011 to 2016. Prior to joining St. Mary’s, Mr. Broughton served as Executive Director, Ethics Program Coordinator, for United Services Automobile Association (USAA) from 2000 to 2011. He has an additional 20 years’ experience in Human Resources and Consumer Lending executive management in the financial services sector.
Mr. Broughton has served in a variety of leadership roles in the Ethics and Compliance Association and the ECI Fellows Program over the past 17 years, and is co-founder and President of the Greater San Antonio Ethics and Compliance Roundtable. He earned a Bachelor’s degree in Sociology from Texas State University, a Master’s degree in Industrial & Organizational Psychology from St. Mary’s University and certification as an Advanced Practitioner in Ethics and Compliance through the ECI.
Keri WoodSenior Compliance Lead, Health Services Industry
Keri Wood has been in the field of Ethics and Compliance for eight years. She began her professional career focusing on regulatory compliance in workers’ compensation before expanding to focus on ethics and broader compliance support for a national insurance and health services company. After more than five years in that field, Keri transitioned to a role focused on ethics and compliance for a private, for-profit prison company. In this role, Keri administered the employee ethics hotline, fielding and investigating instances of employee misconduct and assisting employees with reconciliation and appropriate resolution. It was during this time that Keri’s interest in anti-retaliation best practices piqued. She worked with employees at all levels of the company who felt they were experiencing retaliation. Keri began working to determine how to change the culture around retaliation in her company and across industries.
Earlier in 2019, Keri made a career move to return to the insurance and health services industry and is once again the point of contact for ethics and compliance matters and the privacy investigator for the business lines which she supports.
Keri is a graduate of Mississippi College School of Law and holds a bachelor’s degree from Troy University. She has lived in the Nashville, Tennessee, area for eight years. In her spare time, Keri enjoys reading, traveling, cooking, and exploring all Nashville has to offer.
Mike CamilleriSenior Director & Associate General Counsel, United Technologies Corporation
Mike Camilleri is the executive lead and compliance counsel for the international Ethics & Compliance team of United Technologies Corporation’s Pratt & Whitney Division. He also has responsibility for the International Trade Compliance investigations team and some program execution teams. Prior to joining Pratt & Whitney in 2012, Mike was a partner at the law firm of Brown Rudnick. He earned his bachelor’s degree from Trinity College (Hartford, CT) and his law degree from the University of Connecticut School of Law (Hartford, CT).
Patricia HarnedCEO, Ethics & Compliance Initiative
Patricia Harned is chief executive officer of the Ethics & Compliance Initiative (ECI), America’s oldest nonprofit in the ethics & compliance industry.ECI is a research and membership organization comprised by institutions across every sector, each dedicated to promoting the highest levels of integrity in their operations.
For two decades as CEO, Dr. Harned has overseen all of ECI’s strategy and operations. In that time ECI has become recognized as the leading provider of independent research about workplace integrity, organizational culture and effective compliance programs.Dr. Harned is an expert on culture change, ethical leadership, and workplace reporting/retaliation.She leads ECI’s consulting practice:clients have included many prominent organizations working to recover from scandal, particularly related to sexual misconduct, corruption and fraud.
Dr. Harned also directs outreach efforts to policymakers and federal enforcement agencies in Washington, DC. She has provided ethics & compliance training to officials in the US Department of Justice, testified before Congress and the U.S. Sentencing Commission, and she has personally briefed U.S. Secretary of Defense Ash Carter, the OSHA Whistleblower Protection Advisory Committee, and the Federal Bar Council on strategies to increase effective reporting of suspected misconduct.She also led ECI’s effort to support the establishment of the first-ever values based ethics & compliance program in a US federal government agency.
Dr. Harned is the only female CEO among the leading providers in the US ethics & compliance industry.She was selected by Ethisphere Magazine as one of the 100 Most Influential People in Business Ethics in 2007, 2014 and 2015, and was named one of the Top Thought Leaders in Trust in 2010, 2011, and 2018 by the nonprofit organization Trust Across America. She serves on the board of the U.S. Center for SafeSport, and she is a Special Advisor to the International Association of Independent Corporate Monitors.
Dr. Harned holds a bachelor of science from Elizabethtown College in Pennsylvania, a masters of education degree from Indiana University, and a doctorate from the University of Pittsburgh.
Robin RohmerDirector of Ethics and Compliance Group, KPMG LLP
Robin Rohmer is Director with KPMG LLP’s Ethics and Compliance Group. She is responsible for conducting investigations resulting from hotline filings and human resource referrals. She manages the Firm’s retaliation monitoring process – a pro-active program to monitor participants in investigations who may be at risk of retaliation.
She has presented at conferences, meetings and webcasts sponsored by the ECI and previously served on the ECI’s non-retaliation working group.
Prior to joining KPMG in 2008, she spent over 20 years in the mortgage and financial services industry managing accounting groups and internal audit functions. She is a graduate of the University of North Texas, is a Certified Management Accountant and a member of the Institute of Management Accountants.
Tyler ShultzFounder and CEO of Flux Biosciences
Tyler Shultz is the founder and CEO of Flux Biosciences, a startup firm in the medical diagnostics field. He is a recipient of a bachelor’s degree in biology from Stanford University and later worked there as a researcher. Most famously, he worked at the company Theranos, where he took important steps to fight against and then expose the fraud at the company. He is featured in the book Bad Blood and in the HBO movie The Inventor. Along with Erika Cheung, he is a co-founder of the non-profit organization Ethics in Entrepreneurship.
Wendy EvansSenior Corporate Ethics Investigator, Lockheed Martin Corporation
Wendy Evans is a Corporate Senior Manager with the Lockheed Martin Ethics and Enterprise Assurance organization. Wendy’s career began in law enforcement, including service as an FBI agent (white collar crime and counterintelligence assignments) and police officer. Wendy is a Certified Fraud Examiner (CFE) and member of the Association of Certified Fraud examiners. She is also a Certified Compliance and Ethics Professional (CCEP) with the Society of Corporate Ethics and Compliance. Wendy is a member of the Ethics and Compliance Initiative (ECI), as well as other professional organizations. Wendy has been a featured national speaker on ethics, compliance, security and investigative topics. Wendy holds a Bachelor of Arts degree in Government Studies and Communications (Broadcasting) from Western Kentucky University.
- Timezone: America/New_York
- Date: Nov 05 2019 - Nov 06 2019
Preventing Retaliation in the Workplace – 2019 Fall Best Practice Forum
Preventing Retaliation in the Workplace takes a multi-faceted approach to tackling the issue of retaliation and how you can help to prevent it through keynote speakers and panel discussions. Each session seeks to illustrate a problem and provide practical solutions that you can implement as soon as you return. Best Practice Forums bring together ethics and compliance professionals to share ideas and learn real strategies to mitigate some of the biggest risks facing organizations.
Why is this event important?
Retaliation can be a problem in all workplaces, and the reasons for it can vary wildly and may surprise you. But preventing retaliation IS possible. Through a series of keynote talks, panel discussions and peer-to-peer networking opportunities, this event doesn’t just give you a theoretical knowledge base of what and why, instead it provides practical solutions and applications to preventing retaliation in your organization. As an attendee, you will learn from experts in a variety of sessions, including:
Who attends Best Practice Forums?
Best Practice Forum attendees are senior-level ethics and compliance professionals from Fortune 500 companies, practitioners, leaders, HR professionals and more who have a vested interest in creating and maintaining an ethics and compliance program that benefits their employees and organizations. E&C industry professionals who foster a commitment to ethics and integrity in U.S. and multi-national corporations know that Best Practice Forums are the best way to discover new ideas and take back actionable, practical ideas to their senior executives and utilize in their E&C programs.
This forum doesn’t simply cover the surface of workplace retaliation. Instead, we dive deep in to the root causes of retaliatory behavior to focus on solutions that can be implemented across industries and in organizations of all sizes.
What do your peers think?
For two years in a row, more than 90% of attendees viewed the Fall Best Practice Forum favorably and felt it was a valuable use of their time. Best Practice Forums offer you the invaluable opportunity to learn from and connect with other professionals in your position.
Day 1 - November 5, 2019
- 8:00 am - 9:00 am
- Registration & Continental Breakfast
- 9:15 am - 9:45 am
- The Perennial Problem of Retaliation
- What makes the fall ECI BPF the perfect time and space to address retaliation, taking stock of where we are in terms of this negative and destructive behavior and what we can do together to reduce its occurrence in the workplace?
- 9:45 am - 10:45 am
- The Current State: Retaliation in the Workplace
- This session will feature a panel of ethics & compliance practitioners from the ECI Preventing Retaliation Working Group. Through their work, we will learn about the current trends in dealing with workplace retaliation, the implications for ethics & compliance, and what challenges still remain.
Speakers:Alicia Olmstead, Keri Wood, Mike Camilleri, Robin Rohmer, Wendy Evans
- 11:05 am - 12:10 pm
- The Psychology of Retaliation
- Revenge has been woven deeply into the fabric of individual relationships, communities and cultures for thousands of years. What do we know about why people retaliate and seek revenge based on real or imagined injustices and how can that understanding inform how we deal with it in the workplace?
Speakers:C. Nathan DeWall
- 2:05 pm - 3:05 pm
- Inside the Experience of the Reporter
- How does one reach the point of reporting an issue? What motivates an employee to blow the whistle externally versus reporting internally? What are the factors that influence a decision to expose yourself to personal and professional risk? How can E&C develop programs and processes that support employees and protect them after they come forward? Are there ways to identify a situation or an employee at risk?
Speakers:Andrea Falcione, Dana Gold
- 3:45 pm - 4:50 pm
- A Question of Power and Culture
- Whether retaliation comes from peers or leaders, it often occurs in the context of a power differential between the abuser and abused. What is the relationship between power and retaliation and how can the organization build in checks on authority that address this toxic relationship? More broadly, what changes to workplace culture and the context of work itself can make retaliation a less likely response to perceived threats?
Day 2 - November 6, 2019
- 7:30 am - 8:30 am
- Continental Breakfast
- 8:40 am - 10:10 am
- The Preferred Path: Prevention & Intervention
- We know that High Quality E&C Programs are characterized by reduced incidence of retaliation. We are challenged to create a program and culture that prevents retaliation from occurring in the first place and, failing prevention, develop investigative Protocols and escalation procedures that help us identify retaliation risks quickly and act decisively and effectively. In this session we receive a high-level overview of best practice approaches and hear from subject matter experts in the field.
Speakers:Aaron Lipson, Allison Greene-Sands, Andrea Falcione, Robin Rohmer
- 10:30 am - 11:40 am
- The Long Road Back: Resolution & Resiliency
- Once retaliation has occurred, the organization must respond and demonstrate accountability Both to the employee and the accused. However, often repercussions from the situation extend far beyond those involved. In this session, we hear from subject matter experts in organizational recovery and individual resiliency in order to leverage our collective experience and explore new ways to help employees and the organization heal and move forward.case is closed. A definite workplace issue, this topic is the “new frontier” of dealing with retaliation in the workplace.
Speakers:Dana Gold, Wendy Evans
- 1:00 pm - 2:00 pm
- What Can We Learn From Theranos?
- From its inception, Theranos has been in the news and a source of fascination. What can we learn from the Theranos story and the experience of someone who worked there. Join Tyler Shultz, widely portrayed in print and documentaries as one of the key Theranos Whistleblowers, and Brad Agle, Romney Endowed Professor of Ethics and Leadership at BYU, as we consider the circumstances that led to the collapse of a Silicon Valley multi-billion dollar technology startup.
Speakers:Brad Agle, Tyler Shultz