Emily Stern. Partner Madison Avenue New York, NY Practices. Industries. Selected Experience

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1 Emily Stern Partner Madison Avenue, NY Practices FOCUS: and Dispute Resolution Securities and Enforcement White Collar, Investigations and Compliance Appellate and Supreme Court Class Action and Multidistrict Financial Services Industries Financial Institutions Education JD, University of Wisconsin Law School BFA, University Bar Admissions Emily Stern focuses her practice on complex commercial civil litigation and white collar criminal investigations and defense. In civil matters, Emily represents clients in individual and class actions, as well as at bench and jury trials, before federal, state and appellate courts and arbitral tribunals. Her litigation experience extends to consumer and securities fraud putative class actions; shareholder derivative suits and complex contract, licensing and partnership disputes in a variety of industries. She represents clients in the finance, pharmaceuticals, medical devices, entertainment and telecommunications industries. Clients seek her guidance through government and internal investigations. She defends them in matters before federal and state prosecutors and regulators. Emily is experienced in matters involving the Foreign Corrupt Practices Act (FCPA) and regularly provides risk assessment counseling, advises on compliance and handles investigations of potential violations. She is an active member of Katten's Diversity Committee and Katten's Women's Leadership Forum. Before joining Katten, Emily served as a law clerk to the Honorable Sidney H. Stein, US District Court Judge for the Southern District of. Selected Experience Representation of consortium of lenders in litigation arising out of borrower's default on close to $500 million in real estate financing, obtaining summary judgment dismissing borrower's claims in full. Defense of intellectual property lawsuit against pharmaceutical company resulting in summary judgment dismissal of $300 million claim for an interest in a blockbuster drug. Representation in connection with a jury trial concerning licensing agreement, winning all claims on behalf of medical device inventors and recovery of more than $30 million in unpaid royalties. Court Admissions Southern District of

2 Eastern District of US Supreme Court Northern District of US Court of Appeals, Second Circuit US Court of Appeals, Third Circuit Provision of advice and counsel on FCPA/Anti-Corruption business activities in emerging and foreign markets, including advising major hedge fund on investment ventures in China; designing and drafting anti-corruption compliance policies for entities operating or investing in China and Mongolia; due diligence for multinational defense company in connection with acquisition; internal investigation of multi-national organization of possible FCPA violations involving use of third party agents in Asia. Representation of investment funds in connection with "pay-to-play" fund investigations by Attorney General, SEC (Securities and Exchange Commission) and US Attorney's Office. Defense of broker-dealer arm of major financial institution in federal court litigation by another broker-dealer that claimed breach of purported joint venture and challenged trading strategies, securing dismissal with prejudice on the pleadings. Representation of a zinc producer in litigation concerning dispute with major supplier over an alleged multi-year oral agreement for the sale of $400 million in zinc, resulting in an advantageous business resolution. Arbitration on behalf of pharmaceutical company in a dispute with co-venturer regarding royalties for co-marketing a highly successful medication. Representation of former financial officer of public company targeted in SEC fraud investigation alleging accounting improprieties, avoiding all charges after a Wells submission. Representation of investment funds in SEC (Securities and Exchange Commission) investigation of suspected insider trading involving expert consulting networks. Defense of major auto manufacturer in products liability and consumer fraud multiforum litigation, securing summary judgment dismissal of claims by state attorney general and favorably settling putative consumer class actions. Representation of inventors in bench trial litigation with former lawyers who claimed right to perpetual royalties on clients' devices worth $100s of millions, held unenforceable as a result of lawyers' ethical breaches, affirmed by Appellate Division and Court of Appeals. Representation of investor charged with violating the FCPA for alleged participation in a bribery scheme involving $100s of millions and reaching the highest levels of foreign government, obtained pre-trial dismissal of substantial charges and affirmance thereafter by the Second Circuit Court of Appeals. Defense of officers of a major international company in criminal tax fraud prosecution involving allegations of hundreds of millions of dollars in unpaid taxes, and complex extradition issues. Representation of voting rights groups as amici before the US Supreme Court concerning constitutionality of voter identification laws. Crawford v. Marion County Bd. of Elections.

3 Defense of broker-dealer, investment manager and their principals in SEC civil fraud litigation involving pre-ipo (Initial Public Offering) securities investments. Representation of pharmaceutical distributor in an action alleging breaches of regulatory and common law duties regarding distribution of controlled substances, prevailing on summary judgment on eve of trial. Representation on behalf of a leading sports agency, pharmaceutical company and officers of newly formed venture in litigation and counseling concerning noncompete agreements and thefts of trade secrets (plaintiff and defense side). Representation in connection with various False Claims Act and health care fraud investigations of public health care institutions, brought by Attorney General, US Attorney's offices and US Department of Health and Human Services. Obtain US Supreme Court ruling vacating decision barring habeas petitioner from challenging erroneous criminal sentence and secured client's release pending appeal. Hunter v. United States. Memberships American Bar Association, Business Law Committee Foreign Corrupt Practices Subcommittee Association of the Bar of the City of State Bar, Commercial and Federal Section Advisories SDNY Holds No Attorney-Client Privilege Applies to Communications With In- House Legal Department in China (December 13, 2013) Articles The Law of Contribution and Indemnity, in Settlement Agreements in Commercial Disputes (Richard A. Rosen ed.) (January 1, 2010) Cross Examination, in Commercial in State Courts (Robert L. Haig, ed.) (January 1, 2010) Newsletters Judge Declines to Dismiss Spoofing Charges Against High Frequency Trader SEC Grants Compliance Officer $1.4 to $1.6 Million Whistleblower Award Corporate & Financial Weekly Digest - Volume X, Issue 16 (April 24, 2015) Delaware Court of Chancery Restricts Board's Ability to Subject Former Shareholders to New Bylaws District Court Dismisses Data Breach Case for Lack of Standing Corporate & Financial Weekly Digest - Volume X, Issue 11 (March 20, 2015)

4 Eleventh Circuit Affirms Conviction of Haitian Telecommunications Executive for Role in a Bribery Scheme Eleventh Circuit Affirms Arbitration Dismissal in Favor of Investor's Estate in Clawback Suit Corporate and Financial Weekly Digest - Volume X, Issue 6 (February 13, 2015 ) Supreme Court Clarifies Class Action Removal Pleading Standard SEC Charges Chilean Citizens With Insider Trading Concerning Tender Offer for Chilean Corporate and Financial Weekly Digest - Volume X, Issue 1 (January 9, 2015) Corporate and Financial Weekly Digest - Volume IX, Issue 42 (October 24, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 37 (September 19, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 32 (August 15, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 27 (July 11, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 22 (May 30, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 17 (April 25, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 12 (March 21, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 9 (February 28, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 1 (January 3, 2014) Corporate and Financial Weekly Digest - Volume VIII, Issue 41 (October 25, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 35 (September 13, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 31 (August 9, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 22 (May 31, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 17 (April 26, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 12 (March 22, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 8 (February 22, 2013) Corporate and Financial Weekly Digest - Volume VII, Issue 44 (November 30, 2012) Corporate and Financial Weekly Digest - Volume VII, Issue 37 (October 5, 2012) Corporate and Financial Weekly Digest - Volume VII, Issue 36 (September 28, 2012) Corporate and Financial Weekly Digest - Volume VII, Issue 32 (August 24, 2012) Corporate and Financial Weekly Digest - Volume VII, Issue 28 (July 27, 2012) Corporate and Financial Weekly Digest - Volume VII, Issue 27 (July 20, 2012) Corporate and Financial Weekly Digest - Volume VII, Issue 23 (June 15, 2012) Corporate and Financial Weekly Digest - Volume VII, Issue 18 (May 11, 2012)

5 Corporate and Financial Weekly Digest - Volume VII, Issue 13 (March 30, 2012) Corporate and Financial Weekly Digest - Volume VII, Issue 10 (March 9, 2012) Corporate and Financial Weekly Digest - Volume VII, Issue 5 (February 3, 2012) Speaking Engagements & Presentations Financial Services Symposium,, (October 16, 2014) 2012 ABA Annual Meeting, Chicago (August 2 4, 2012) Presentation, American Bar Association, Business Law Section, What Every M&A and Private Equity Lawyer Needs to Know About the Foreign Corrupt Practices Act (August 1, 2012) Presentation, State Bar Association, Commercial Federal Section, Recent Changes to Federal Rules of Civil Procedure (May 1, 2011)