Professional Activities

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1 Stuart A. Brock, CCM Profile Areas of Practice Business Immigration Compliance/ Employment Law, Counseling & Litigation / Risk Management & Compliance/ Workplace Privacy Contact Information Charlotte Office 704/ (phone) 704/ (fax) sbrock@wcsr.com Stuart practices primarily in employment law with a concentration in business immigration compliance, counseling and litigation of employment matters, and workplace privacy. In his business immigration compliance practice, Stuart counsels and represents clients in I-9 compliance audits, defends clients against government workplace enforcement actions, and assists clients with strategic policies to avoid employer fines and sanctions. He advises clients on workforce strategy and visa processing for foreign national employees. Stuart also regularly works with the Firm's corporate and litigation practices in performing due diligence related to the immigration status of employees involved in a merger, acquisition or other corporate change. Stuart's general employment law practice focuses on assisting clients with internal investigations and with policies and programs essential to litigation avoidance, including the review and revision of employment policies and training programs for managers and human resources personnel on risk areas such as sexual harassment and disability accommodation requirements. He represents and defends clients in all areas of employment law, including discrimination claims based on sex, age, race, disability, and national origin; executive contract disputes; lawful use of employee background checks; risks associated with the hiring of employees subject to restrictive covenants; employee disciplinary matters; FMLA and ADA issues; requests for reasonable accommodation of religious practices; individual employment terminations; common law employment claims; ERISA disputes; and, trade secret and non-competition matters. In his workplace privacy practice, Stuart assists clients with policies and practices to protect personal and sensitive data (such as , Web usage, and telephone rules). He advises clients on the legality and methodology of monitoring employees and testing them for illegal substances. Stuart also assists clients with privacy issues such as the security of information during termination, the employee information that can be shared during or after employment, and the retention of employment records. In addition, Stuart assists clients with potential HIPAA issues related to employer-sponsored health plans and to medical information requested for FMLA and ADA issues. Significant Cases Swann et al. v. Roadway Express, Inc., M.D.N.C. No. 1:02-CV-01053, 2002 (race and gender discrimination suit, summary judgment granted in favor of client as to all claims). Ladd Furniture, Inc. v. Highmark Life Ins. Co., M.D.N.C. No. 1:01-CV-430, 2001 (denial of claims under ERISA plan s stop loss coverage).

2 Veron v. Tradewinds Airlines, Inc. et al., County of Guilford, State of North Carolina No. 01-CVS-7430, 2001 (personal injury and third party negligence asserted by independent contractor). Published Cases In the Matter of T.D.P., 359 N.C. 405, 610 S.E.2d 199 (2005). In re T.D.P., 164 N.C. App. 287, 595 S.E.2d 735 (2004). In the Matter of Mitchell, 356 N.C. 613, 574 S.E.2d 467 (2002). In the Matter of Mitchell, 356 N.C. 288, 570 S.E.2d 212 (2002). In the Matter of Mitchell, 355 N.C. 349, 561 S.E.2d 891(2002). In the Matter of Mitchell, 148 N.C. App. 483, 559 S.E.2d 237 (2002). Professional Activities American Bar Association - Member of Labor and Employment Section, Section of Individual Rights and Responsibilities; Former Member of Litigation Section, Health Law Section, Tort Trial and Insurance Practice North Carolina Bar Association Appointee, Minorities in the Profession Committee; Member of the Labor and Employment Section, Health Law Section; Former Appointee, Medico-Legal Liaison Committee; Former Member of the Pro Bono Committee of the Young Lawyers Division and the Litigation Section Member, 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, Managed Care Special Interest Group, Charlotte, North Carolina Chapter, Former Board Member, Greensboro, North Carolina; Academy of Certified Case Managers. Admitted to the bar 2000, North Carolina. Admitted to practice before all North Carolina State Courts and the U.S. District Courts for the Eastern, Middle and Western Districts of North Carolina. Education B.S., Biology, 1990, Wake Forest University, cum laude; Clinical Studies, 1992, Bowman Gray School of Medicine, Wake Forest University; CCM, Certified Case Manager, 1995, The Commission for Case Manager Certification (formerly the Certification of Insurance Rehabilitation Specialists Commission); J.D., 2000, North Carolina Central University School of Law, evening program, cum laude.

3 Prior Legal Experience Law Clerk, Womble Carlyle Sandridge & Rice, PLLC, Winston-Salem, NC, ; Summer Associate, Womble Carlyle Sandridge & Rice, PLLC, Winston- Salem, NC, 1998 & Prior Business Experience Managed Care Consultant, Winston-Salem, NC, ; Case Manager, QualChoice of North Carolina, Inc., Winston-Salem, NC, ; Case Management Specialist, MedCost, Inc., Winston-Salem, NC, ; Manager, ACS Medical Services, ACS Group, Inc., Winston-Salem, NC, Presentations Three...Two One Countdown to Change: Immigration Reform in the Workplace, SHRM (Society For Human Resource Management), 60 th Annual Conference, Chicago, Illinois, June 22-25, (Upcoming) Here We Go Again: DHS Proposes Supplemental Rule for Employer Response to Social Security No-Match Letters, a Womble Carlyle Client Webinar in Charlotte, North Carolina, April 17, "FMLA Master Class," co-presenter, sponsored by the North Carolina Employment Law Letter, Charlotte, NC, April 15, Are Your Employees Legal?: The Growing Risks for Employers, a Womble Carlyle Client Webinar in Charlotte, North Carolina, February 28, "The Employer's Guide to Immigration Reform," American Home Furnishings Alliance's Financial Management & Economic Outlook Conference, High Point, NC, October 24, "Are Your Company's Diversity Initiatives Driving You to Court?" Society for Human Resource Management Workplace Diversity Conference & Exposition, Philadelphia, PA, October 18-20, "Wage & Hour Master Class," co-presenter, sponsored by the North Carolina Employment Law Letter, Charlotte, NC, October 9, "Mock Trial: Sexual Harassment & Employer Retaliation," Charlotte Area Society of Human Resource Management, Charlotte, NC, October 8, "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, October 4, 2007, Greensboro, NC.

4 An Employer Protection Webinar: DHS Finalizes Social Security No-Match Letter Regulation, a Womble Carlyle Client Webinar in Charlotte, North Carolina, September 11, 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 in Charlotte, North Carolina, June 14, Managing Psychiatric Disabilities Under the ADA, North Carolina College & University Professional Association for HR workshop, in Greensboro, NC, April 27, FMLA Master Class - The Advanced Interactive Workshop for North Carolina Employers", North Carolina Employment Law Letter, co-presented by Richard Rainey, Stuart Brock and Sheri Roberson in Charlotte, NC, November 8, 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 in Charlotte, North Carolina, July 12, Recent Developments in Wage and Hour Law, a Womble Carlyle Breakfast Briefing co-presented by Richard L. Rainey and Stuart A. Brock in Charlotte, North Carolina, April 12, H.R. Bytes, Human Resource Management Association of Greensboro, North Carolina Chapter Meeting, March 2, Social Security No-Match Letters Triangle Hotel-Motel Association Chapter Meeting, February 21, Social Security No-Match Letters Triangle Hospitality HR Association Chapter Meeting, October 19, The HIPAA Privacy Regulations: A Case Manager s Guide to Compliance Case Management Society of America 14 th Annual Conference and CM Expo, June 15-19, 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, May 6, Basics of Employment Law PHR/SPHR Certification Training Class, sponsored by Human Resource Management Association of Greensboro, North Carolina, May 5, Basics of Employment Law PHR/SPHR Certification Training Class of Guilford College, Greensboro, North Carolina, October 22, Hiring and Firing in North Carolina: How to do it Right! sponsored by Sterling

5 Education Services, LLC, October 14, HR Policies & Supervisory Skills 2003 Summer Associate Retreat, co-presented with Pat Kight, Director of Human Resources, Womble Carlyle Sandridge & Rice, PLLC, July HIPAA: Will CM s Survive This Latest Revolution? Case Management Society of America 13 th Annual Conference and Expo, June 24-28, Legal Update: The Latest Legal Developments of Interest to HR Professionals, A Professional Development Seminar, sponsored by Human Resource Management Association of Greensboro, North Carolina, April 24, New Trends in Benefits: A Comparison of Plans, A Professional Development Seminar, sponsored by Human Resource Management Association of Greensboro, North Carolina, April 24, HIPAA An Overview for Nursing Administrators, Nursing Administration II (Course NUR 642), University of North Carolina at Greensboro School of Nursing, March 24, Taking Depositions of Fact and Expert Witnesses Wake Forest University School of Law Clinic, February 26, Outcomes Measures in Case Management, Nursing Case Management (Course NUR 541), University of North Carolina at Greensboro School of Nursing, November 25, Legal Concerns for Elders: A Case Management Perspective, The Case Management Society of America's 12th Annual Conference & Expo, June 11-15, HIPAA An Overview for Nursing Administrators, Nursing Administration II (Course NUR 642), University of North Carolina at Greensboro School of Nursing, March 25, Outcomes Measures in Case Management, Nursing Case Management (Course NUR 541), University of North Carolina at Greensboro School of Nursing, November 26, Confidentiality and Privacy Issues in Health Care, Greensboro Chapter of the Case Management Society of America North Carolina, August 21, Legal Concerns for Our Elders, Greensboro Chapter of the Case Management Society of America North Carolina, June 19, 2001.

6 Publications Stuart Brock, Immigration Reform: What Employers Must Do, UNITS, July 2006, at 20. ERISA Survey of Federal Courts (Brooks Magratten ed., American Bar Association Tort Trial and Insurance Practice Section 2005), contributing author to Fourth Circuit Chapter. Stuart Brock, Legal Concerns for Elders: A CM Perspective, Case Management Advisor Newsletter, October 2002.