STUART A. BROCK, CCM, JD
President & Managing Member
EDUCATION
JURIS DOCTOR, cum laude, May 2000
North Carolina Central University School of Law Evening Program, Durham, NC
BOWMAN GRAY SCHOOL OF MEDICINE, Clinical Sciences, September 1990 – May 1992
Wake Forest University, Winston-Salem, NC
BACHELOR OF SCIENCE, Biology, cum laude, May 1990
Wake Forest University, Winston-Salem, NC
EMPLOYMENT HISTORY
MANAGING MEMBER, HR Innovators, LLC
Charlotte, NC, February 2009 – Present
ASSOCIATE, Womble Carlyle Sandridge & Rice, PLLC
Charlotte, NC, September 2000 – January 20009
SUMMER ASSOCIATE, Womble Carlyle Sandridge & Rice, PLLC
Winston-Salem, NC, Summers of 1998 and 1999
MANAGED CARE CONSULTANT, Personnel Resource Group, Inc.
Winston-Salem, NC, February 1994 – September 2000
CASE MANAGER, QualChoice of North Carolina, Inc.
Winston-Salem, NC, February 1995 – July 1997
CASE MANAGEMENT SPECIALIST, MedCost, Inc.
Winston-Salem, NC, February 1994 – February 1995
MANAGER, ACS Medical Services, ACS Group, Inc.
Winston-Salem, NC, August 1992 – January 1994
EXPERIENCE
Employment
Counsel · Advised and trained management regarding issues of employee work authorization and immigration, including visas, specialty workers, intracompany transfers, workforce strategies for foreign national employees, and Immigration Reform and Control Act compliance.
· Conducted due diligence related to employee authorization status and workforce policies and procedures for mergers, acquisitions, and other corporate ownership changes.
· Represented and counseled management in all aspects of employment litigation, including ADA, Title VII, FLSA, ADEA, REDA, ERISA, and wrongful discharge claims, before state and federal courts, the EEOC, and other administrative agencies.
· Developed management strategies to minimize the risk of potential litigation; conducted internal investigations; and, drafted appropriate employee handbooks and policies and procedures.
· Counseled management in termination and wage and hour matters.
· Reviewed plan benefit design and counseled plan administrators in appeals and the administration of ERISA health plans.
· Counseled management regarding HIPAA issues.
· Counseled management regarding executive employment contract disputes, restrictive covenants, and trade secrets.
· Developed management policies and procedures regarding workplace privacy practices.
Firm Counsel · Served as legal counsel to Firm’s Human Resources Department.
· Provided training and support to Firm’s staff responsible for I-9 compliance and employment of foreign nationals.
· Served as counsel to Firm’s Avian Flu Pandemic Task Force.
Diversity · Served on Firm’s Diversity Committee and Mentoring Sub-Committee.
· Served as Chair of the Diversity Sub-Committee publishing Firm’s quarterly diversity newsletter.
· Established and maintained partnership between Firm and Johnson C. Smith University Pre-Law Society supporting minority students that seek admission to law school.
· Served on Planning Committee for Annual Awards of Excellence Dinner for the Thurgood Marshall Scholarship Fund.
· Served on Diversity Council of the Carolinas.
· Received 2006 Charlotte Business Journal Diversity in Business Award.
General Litigation · Negotiated compromise settlements in complex personal injury and ERISA health plan matters resulting in multi-million dollar savings for each client in both cases.
· Interviewed witnesses; prepared and responded to discovery; deposed witnesses and experts; defended depositions; researched and drafted dispositive motions and supporting memoranda; prepared witnesses and exhibits for trial; prepared outlines for depositions, direct examinations, and cross examinations; and, appeared in state and federal courts.
· Tried cases before the Industrial Commission, including subsequent appeals to the Full Commission.
Expert Witnesses · Served on Expert Witness Development Team in national diet drug litigation.
· Identified and developed relationships with nationally recognized experts in cardiology, cardiothoracic surgery, echocardiography, pulmonology, immunology, and bariatrics.
· Consulted with and defended depositions of Team’s experts.
· Deposed plaintiffs’ treating physicians and expert witnesses.
· Prepared Motions to Exclude Expert Witness Testimony.
Appellate
Advocacy · Represented the North Carolina Guardian Ad Litem Program as appellate counsel in appeals of the termination of parental rights.
· Prepared appellate briefs filed with and argued matters before the North Carolina Supreme Court.
· Prepared appellate briefs filed with the North Carolina Court of Appeals.
PRESENTATIONS
· “Form I-9 Training,” a client training webinar broadcast from Charlotte, NC, January 7, 2009.
· “E-Verify: To Use or Not to Use,” a Womble Carlyle Client Webinar broadcast from Charlotte, NC, December 4, 2008.
· “Wage and Hour Master Class,” co-presenter, sponsored by the North Carolina Employment Law Letter, Charlotte, NC, October 21, 2008.
· “Now What? Business Immigration Compliance in the News Again,” Corporate Compliance Training Conference, Chenega Corporation, Washington, DC, September 9, 2008.
· “Now What? Business Immigration Compliance in the News Again,” a Womble Carlyle Client Webinar broadcast from Charlotte, NC, August 21, 2008.
· “Three…Two…One…Countdown to Change: Immigration Reform in the Workplace,” Society for Human Resource Management 60th Annual Conference, Chicago, Illinois, June 22-25, 2008.
· “Here We Go Again: DHS Proposes Supplemental Rule for Employer Response to Social Security No-Match Letters,” a Womble Carlyle Client Webinar broadcast from Charlotte, NC, April 17, 2008.
· “FMLA Master Class,” co-presenter, sponsored by the North Carolina Employment Law Letter, Charlotte, NC, April 15, 2008.
· “Are Your Employees Legal? The Growing Risks for Employers,” a Womble Carlyle Client Webinar broadcast from Charlotte, NC, February 28, 2008.
· “The Employer’s Guide to Immigration Reform,” American Home Furnishings Alliance’s Financial Management & Economic Outlook Conference, High Point, NC, October 24, 2007.
· “Are Your Company’s Diversity Initiatives Driving You to Court?”, Society for Human Resource Management Workplace Diversity Conference & Exposition, Philadelphia, PA, October 18-20, 2007.
· “Wage & Hour Master Class,” co-presenter, sponsored by the North Carolina Employment Law Letter, Charlotte, NC, October 9, 2007.
· “Mock Trial: Sexual Harassment & Employer Retaliation,” Charlotte Area Society of Human Resource Management, Charlotte, NC, October 8, 2007.
· “Are Your Company’s Diversity Initiatives Driving You to Court?” and “Legal Update: The Latest Legal Developments of Interest to HR Professionals,” Fall 2007 Professional Development Seminar, sponsored by Human Resource Management Association of Greensboro, Greensboro, NC, October 4, 2007.
· “An Employer Protection Webinar: DHS Finalizes Social Security No-Match Letter Regulation,” a Womble Carlyle Client Webinar broadcast from Charlotte, NC, September 11, 2007.
· “Intersection of Psychiatric Disabilities and the ADA: A Roadmap to Compliance,” a Womble Carlyle Breakfast Briefing, co-presented by Richard L. Rainey and Stuart A. Brock, Charlotte, NC, June 14, 2007.
· “Managing Psychiatric Disabilities Under the ADA,” North Carolina College & University Professional Association for HR Workshop, Greensboro, NC, April 27, 2007.
· “FMLA Master Class - The Advanced Interactive Workshop for North Carolina Employers,” co-presenter, sponsored by the North Carolina Employment Law Letter, Charlotte, NC, November 8, 2006.
· “Identity Theft: What Employers Need To Know To Protect Themselves And Their Employees,” a Womble Carlyle Breakfast Briefing, co-presented by Richard L. Rainey and Stuart A. Brock, Charlotte, NC, July 12, 2006.
· “Recent Developments in Wage and Hour Law,” a Womble Carlyle Breakfast Briefing, co-presented by Richard L. Rainey and Stuart A. Brock, Charlotte, NC, April 12, 2006.
· “H.R. Bytes,” Human Resource Management Association of Greensboro Chapter Meeting, Greensboro, NC, March 2, 2006.
· “Social Security No-Match Letters,” Triangle Hotel-Motel Association Chapter Meeting, Raleigh, NC, February 21, 2006.
· “Social Security No-Match Letters,” Triangle Hospitality HR Association Chapter Meeting, Raleigh, NC, October 19, 2005.
· “The HIPAA Privacy Regulations: A Case Manager’s Guide to Compliance,” Case Management Society of America 14th Annual Conference and CM Expo, Nashville, TN, June 15-19, 2004.
· “From Bad to Worse: Employer Compliance Errors that Lead to Lawsuits, Fines or Jail,” Immigration Compliance: Avoiding Employer Liability in the Post-9/11 Era, sponsored by Lorman Education Services, Charlotte, NC, May 6, 2004.
· “Basics of Employment Law,” PHR/SPHR Certification Exam Training Class, sponsored by Human Resource Management Association of Greensboro, Greensboro, NC, May 5, 2004.
· “Basics of Employment Law,” PHR/SPHR Certification Exam Training Class, Guilford College, Greensboro, NC, October 22, 2003.
· “Hiring and Firing in North Carolina: How to do it Right!”, sponsored by Sterling Education Services, LLC, Greensboro, NC, October 14, 2003.
· “HR Policies & Supervisory Skills,” 2003 Womble Carlyle Sandridge & Rice, PLLC Summer Associate Retreat, Asheville, NC, July 2003.
· “HIPAA: Will CM’s Survive This Latest Revolution?”, Case Management Society of America 13th Annual Conference and Expo, San Antonio, TX, June 24-28, 2003.
· “Legal Update: The Latest Legal Developments of Interest to HR Professionals,” A Professional Development Seminar, sponsored by Human Resource Management Association of Greensboro, Greensboro, NC, April 24, 2003.
· “New Trends in Benefits: A Comparison of Plans,” A Professional Development Seminar, sponsored by Human Resource Management Association of Greensboro, Greensboro, NC, April 24, 2003.
· “HIPAA – An Overview for Nursing Administrators,” Nursing Administration II (Course – NUR 642), University of North Carolina at Greensboro School of Nursing, Greensboro, NC, March 24, 2003.
· “Taking Depositions of Fact and Expert Witnesses,” Wake Forest University School of Law Clinic, Winston-Salem, NC, February 26, 2003.
· “Outcomes Measures in Case Management,” Nursing Case Management (Course - NUR 541), University of North Carolina at Greensboro School of Nursing, Greensboro, NC, November 25, 2002.
· “Legal Concerns for Our Elders: A Case Manager’s Perspective,” Case Management Society of America 12th Annual Conference and Expo, Orlando, FL, June 11-15, 2002.
· “HIPAA – An Overview for Nursing Administrators,” Nursing Administration II (Course – NUR 642), University of North Carolina at Greensboro School of Nursing, Greensboro, NC, March 25, 2002.
· “Outcomes Measures in Case Management,” Nursing Case Management (Course - NUR 541), University of North Carolina at Greensboro School of Nursing, Greensboro, NC, November 26, 2001.
· “Confidentiality and Privacy Issues in Health Care,” Greensboro Chapter of the Case Management Society of America – North Carolina, Greensboro, NC, August 21, 2001.
· “Legal Concerns for Our Elders,” Greensboro Chapter of the Case Management Society of America – North Carolina, Greensboro, NC, June 19, 2001.
PUBLICATIONS
· Brock, Stuart, Immigration Reform:
What Employers Must Do, UNITS, July
2006, at 20.
· Brooks Magratten ed., American Bar Association Tort Trial and Insurance Practice Section, Brock, Stuart, contributing author to Fourth Circuit Chapter, ERISA Survey of Federal Courts, 2005.
· Brock, Stuart, Legal Concerns for Elders: A CM Perspective, Case Management Advisor Newsletter, October 2002.
AFFILIATIONS
North Carolina Bar Association
Appointee, Minorities in the Profession Committee
Member, Labor and Employment Section
Former appointee, Medico-Legal Liaison Committee
Former member, Health Law Section
Former member, Pro Bono Committee, Young Lawyers’ Division
Former member, Litigation Section
American Bar Association
Member, Labor and Employment Law Section
Member, Section of Individual Rights and Responsibilities
Former member, Health Law Section
Former member, Litigation Section
Former member, Tort Trial and Insurance Practice Section
Society for Human Resource Management
Human Resource Management Association of Greensboro
Charlotte Area Society for Human Resource Management
Case Management Society of America
Member, National Association
Member, Charlotte, North Carolina Chapter
Former Board Member, Greensboro, North Carolina Chapter
Academy of Certified Case Managers
HR Innovators, LLC
315 Arlington Avenue
Suite 1807
Charlotte, NC 28203
p. 336.408.4022
f. 877.350.3478
StuartBrock@carolina.rr.com
