Vicki Lubben has held senior level positions in accounting and financial services firms for more than two decades. Prior to her affiliation with NewGate Law, Vicki was Deputy General Counsel at McGladrey, and served as its chief compliance and risk management officer. In addition to her recognized credentials as a lawyer to the audit, tax and consulting practices, Vicki has demonstrated expertise in the legal, compliance and risk management aspects of investment advisory, insurance, broker-dealer, retirement and payroll services, as well as business process outsourcing. She also has routinely counseled clients on critical matters related to marketing, information technology and security, privacy, and social media.
Before joining McGladrey, Vicki had a long and distinguished career at American Express Financial Corporation and American Express Financial Advisors (now Ameriprise), where she was the senior lawyer in the Office of the General Counsel responsible for the securities, investment advisory and insurance businesses, and the compliance, marketing, IT, and global procurement functions. She was also the chief lawyer for intellectual property protection and client privacy.
Vicki is a graduate of Luther College and the University of Iowa College of Law.
In addition to her association with NewGate Law, Vicki is also affiliated with The General Counsel, Ltd., which provides business clients with the services of experienced in-house counsel on an as-needed basis.
Vicki’s areas of expertise include:
- Sales, distribution, advertising, marketing and e-commerce
- Business organization, operations and process improvement
- Investment adviser and broker-dealer regulation
- Commercial transactions and strategic alliances
- Corporate governance, controls and risk management
- Compliance policies, programs and procedures
- Privacy, information technology, and security and data protection
- Government and regulatory relations
- Legislative monitoring and analysis
- Human resources management and employment issues
- Intellectual property
- Insurance and annuity sales
- Domestic and international outsourcing
- Litigation management, claim and dispute resolution
- Records management
Vicki can be reached at email@example.com or (612) 940-9219