lionstone international

21
st
Annual Legal Symposium on
Alcohol Beverage Law & Regulation
March 10-12, 2014 • Westin Alexandria • Alexandria, VA
NABCA’s 21st Annual Symposium on Alcohol Beverage Law and Regulation has a robust agenda that
provides attendees an excellent opportunity to stay abreast of the most recent legislative, regulatory, and judicial
activity impacting the operation and regulation of the alcohol beverage industry. Increased attendance during the past
several years at the Symposium is a clear indication of the growing value and significance this meeting offers through
both subject matter and networking opportunities.
Attendance at the Symposium proves beneficial to a myriad of audiences: lawyers, state and federal regulators,
representatives of the alcohol beverage industry and other affiliated entities. The Symposium Planning Committee,
which is comprised of regulators, industry analysts and experts, has created an informative and educational agenda
that focuses on timely and current issues. In addition, the Symposium provides an invaluable opportunity to network
with colleagues from across the country.
Please take a moment to review the schedule and program for this year’s Symposium. For those who attended last
year, please note that we are back at the easily-accessible Westin Alexandria, located in historic Old Town Alexandria.
We hope to see you there!
Sincerely,
James M. Sgueo
President & CEO
Who is NABCA?
The National Alcohol Beverage Control Association
(NABCA) is the national association representing the 18
political jurisdictions that directly control the distribution
and sale of alcohol beverages within their borders. While
the Control State Systems were founded upon a common
principal of market control, the exercise of that control has
come to vary from state to state. Some states now control
only at wholesale; while others have retained control at
retail exclusively through government-operated stores.
Some control the sale of wine as well as distilled spirits.
Regulation and operational procedures vary from state to
state. The Control State System works for the community
the way community wants it to work.
Established in 1938, NABCA serves its members as an
information clearinghouse and as a liaison to federal, state,
and local governments; research and advocacy groups;
the alcohol beverage industry; and other organizations
impacting alcohol policy. It is the mission of NABCA to
support alcohol control systems by providing resources,
compiling research, and fostering relationships to address
policy for the responsible sale and consumption of alcohol
beverages.
Why is the Symposium Unique?
The Symposium on Alcohol Beverage Law and Regulation
is the only forum sponsored by a non-profit organization
representing alcohol regulators focusing on legal issues
from the perspective of regulators, policy makers and the
alcohol beverage industry. Faculty and attendees include
knowledgeable individuals who represent government
and industry perspectives, as well as those who bring an
impartial view of key issues impacting the participants. The scheduled program, coupled with ample time for
informal networking, affords an excellent opportunity for a
unique learning experience.
Who Should Attend?
The Symposium is ideal for state regulatory agency
officials, corporate counsel, industry policy-makers who
want to know how the current legal environment will
shape their future operational decisions, and attorneys
in private practice who advise industry members
and work with state and federal regulatory agencies.
The Symposium will examine legal issues from the
perspectives of government regulators, beverage alcohol
industry (suppliers, wholesalers and retailers), and policy
makers. Representatives from every segment will find
topics covered in the Symposium extremely timely and
informative.
Continuing Legal Education
The Symposium program is designed to qualify in states
that have a Continuing Legal Education (CLE) requirement.
Since it is impossible to pre-register the Symposium in
all states with mandatory CLE, NABCA will cooperate
with attendees in completing and submitting any forms
necessary to obtain CLE credit for the course. Preapproval will be obtained from some major jurisdictions.
Attendees will be provided a uniform CLE attendance
form for submission to their local jurisdiction.
Look out for the Legal Symposium meeting app! Details will be
made available after registering.
6:00 PM - 7:00 PM
Registration and Networking Reception
Tuesday, March 11
7:30 AM
Registration and Continental Breakfast
8:15 AM
Welcoming Remarks
James M. Sgueo, NABCA President & CEO
J. Neal Insley, Esq., Chairman, Virginia Department of Alcoholic Beverage Control
NABCA Chairman
8:30 AM
TTB COLA Update
The Alcohol & Tobacco Tax and Trade Bureau must, by law, provide pre-market approval for all alcohol beverage
labels. However, an increasing number of label applications and decreasing resources are forcing the agency to
explore new ways of fulfilling its mandate. This session will explore what TTB is doing and how the changes impact
industry and state regulators.
Victoria I. McDowell (Moderator), The Presidents’ Forum of the Distilled Spirits Industry
Jeannie Bremer, The Wine Group
Jeff Carroll, ShipCompliant
Theresa McCarthy, Alcohol and Tobacco Tax and Trade Bureau
9:30 AM
Morning Break 1
9:45 AM
Supplier-Distributor Relationships: The Franchise
Business franchises, such as fast-food establishments, are generally regulated under a set of federal and state
rules. But many of these do not apply to the alcohol beverage industry “franchise” relationship between supplier
and wholesaler. This session probes the state of the law industry franchise relationships.
Timothy J. Bechtold, Esq. (Moderator), Vorys, Sater, Seymour and Pease LLP
Robert E. Duncan, Esq., Duncan Law Firm
Michael D. Madigan, Esq., Madigan, Dahl & Harlan, P.A.
10:45 AM
Morning Break 2
11:00 AM
Licensing and Regulating Internet Retailing
A majority of states allow direct shipping by wineries, but far fewer permit such shipping by retailers. This session
explores new forms of “retailing” and how and if states can engage in extra-territorial enforcement of their laws.
Terri Cofer Beirne, Esq. (Moderator), Wine Institute
Sherry Cook, Texas Alcoholic Beverage Control Commission
Nick A. Lucca, Lionstone International
Kristen Techel, Esq., Strike and Techel
12:00 PMLunch
TENTATIVE PROGRAM & SESSION DESCRIPTIONS
Monday, March 10
(Session Topics and Speakers are Subject to Change)
LegaL SympoSium 2014
Tuesday, March 11 (continued)
Afternoon Concurrent Sessions (Choose One)
1:15 PM
1:15 PM Ethics: Who’s Your Client? Who’s Your Partner?
Pre-Prohibition History
Industry members and state officials are aware of the
origins of the Twenty-First Amendment and what has
occurred in the eight decades since Prohibition was
repealed. But less is known about alcohol’s history
in the 125 years prior to The Great Experiment. This
session will focus on how the Eighteenth Amendment
came to be enacted.
When a representative of a regulated company contacts
a state agency to seek informal advice on whether a
proposed activity is permissible, the agency’s counsel
faces a dilemma. On the one hand counsel wants to
be helpful, but on the other hand, proving even informal
advice may violate ethical rules against conflicts of
interest. This session explores the tension faced by
both the requester and the agency.
K. Austin Kerr, Ph.D
James M. Goldberg, Esq. (Moderator),
Goldberg & Associates, PLLC
TENTATIVE PROGRAM & SESSION DESCRIPTIONS (cont).
Speakers to be named
Michael Arton, Esq.,
Diageo North America
Stephen B. Humphress, Esq.,
Kentucky Department of Alcoholic Beverage Control
2:15 PM
2:30 PM
Afternoon Break 1
2:30 PM
Mobile Marketing Challenge
The increased use of smartphones, tablets, and other
mobile technology is changing how consumers receive
and interact with information from manufacturers and
retailers. This technology can provide information to
consumers in very timely and useful ways but may
also provide unintended challenges to manufacturers,
retailers, and regulators. This session describes these
new mobile marketing applications and addresses
possible concerns of regulators and industry alike.
Retailers generally do not hold permits to produce
spirits but that’s what some seem to be doing by
infusing alcohol at the point-of-sale with herbs, spices
and other additives. This activity poses challenges for
state regulators and the suppliers whose products are
being
infused. What, if anything, can be done?
Steven L. Schmidt (Moderator),
National Alcohol Beverage Control Association
Confusion with Infusion
Colleen M. Hunter (Moderator),
Darden Restaurants, Inc.
Donn S. Lux,
Luxco, Inc.
Speakers to be named
Greg Carney, Pavone
3:30 PM
3:45 PM
Afternoon Break 2
Evolution of Couponing
Many sellers offer coupons and rebates as a way of
stimulating retail purchases of their products. The
growth of third-party marketing sites and licensee
‘loyalty” cards which provide discounts on food and
alcohol purchases have led to confusion. This session
explores existing state regulation and whether there is
a way for regulators to deal with these new ways to
stimulate
sale.
Speakers to be named
3:45 PM
Before Prohibition, beer used to be sold in buckets
and customers returned to their retailer for a refill in
their own container. Since “everything old is new
again,” the industry has introduced “growlers” for beer
and wine. This new form of selling presents legal and
regulatory
challenges, which this session will explore.
6:00 PM - 7:00 PM
Networking Reception
Rod Diaz, Esq. (Moderator),
Pennsylvania Liquor Control Board
Speakers to be named
5:00 PMAdjournment
Growlers: Regulating Refills
7:30 AM
Continental Breakfast
8:30 AM
Regulating Marijuana Like Alcohol?! Serving Stoners
Colorado and Washington have stepped into unchartered waters by passing laws providing for the regulation of
the manufacture and sale of recreational marijuana. Panelists in this session discuss how each state approached
this
“brave new world” of regulation and what is on the horizon across the country.
Rick J. Garza, Washington State Liquor Control Board
Sam Kamin, Esq., University of Denver Sturm College of Law
Karen O’Keefe, Esq., Marijuana Policy Project
9:45 AM
Morning Break
10:00 AM
Implications of Trade Practice Enforcement
The Alcohol & Tobacco Tax and Trade Bureau has stepped up its trade practice enforcement in recent years with
major investigations involving slotting fees and category management services. This session focuses on TTB’s
decisions
and their implications for industry.
Edward O’Toole (Moderator), Ed O’Toole Consulting
Michael T. Kelly, Esq., Wormser, Kiely, Galef & Jacobs, LLP
Charles Tull, Alcohol and Tobacco Tax and Trade Bureau
11:30 AM
Privatization Update
In 2012, Washington became the first state Prohibition to totally privatize its alcohol beverage distribution system.
Pennsylvania may – or may not – become the second state to privatize, and clouds are on the horizon in Idaho,
Oregon
and elsewhere. This session provides a current assessment of the privatization landscape.
Speakers to be named
12:00 PMAdjournment
FACULTY
TIMOTHY J. BECHTOLD is of counsel in the Columbus, OH office
of Vorys, Sater, Seymour and Pease, where his practice focuses
on alcohol beverage law, assisting clients in the acquisition and
transfer of liquor permits for their businesses win Ohio. Before
joining the firm, he served for 20 years as in-house counsel and
government affairs director for the Wholesale Beer and Wine
Association of Ohio. Mr. Bechtold received a B.S. degree from
Xavier University and a J.D. Degree from The Ohio State University.
TERRI COFER BEIRNE is Eastern Counsel for Wine Institute,
representing the California wine industry on legal and policy issues
in seven mid-Atlantic states. She has taught Virginia wine law as
an adjunct professor at the University of Virginia and Piedmont
Virginia Community College. She received an undergraduate
degree from George Mason University and a J.D. degree from
the University of Richmond’s TC Williams School of Law.
digital work – a resumé that includes building his own digital
advertising business, building websites for grassroots political
organizations and overseeing the digital communications efforts
for an energy issues television show.
RICK GARZA is Agency Director of the Washington State Liquor
Control Board, and also serves as the Board’s legislative and
tribal liaison. Prior to joining the Board in 1997, he served 13
years as a staff member for the Washington State Legislature.
Mr. Garza is the immediate past President of the National
Conference of State Liquor Administrators.
JEANNIE BREMER is Vice President for Compliance and Public
Policy at The Wine Group.
JAMES M. GOLDBERG is General Counsel to the National Alcohol
Beverage Control Association. A principal in the Washington law
firm of Goldberg & Associates, PLLC, he has filed numerous amicus
curiae briefs on behalf of NABCA and its control state members in
several significant alcohol beverage cases. Mr. Goldberg received
a B.S. degree from Syracuse University and a J.D. degree from
The George Washington University School of Law.
GREG CARNEY is the digital media director for Pavone, a full service
advertising and marketing firm in Harrisburg, Pennsylvania. His
position puts him at the creative center of all digital and social
media efforts for clients like D.G. Yuengling & Son, Turkey Hill
Dairy, Ortega and StarKist. His education in public relations
helped pave the way for a career that has since focused on
STEPHEN B. HUMPHRESS is General Counsel for the Kentucky
Department of Alcoholic Beverage Control and leads its legal
division. Prior to joining the Department in 2001, he was in private
practice focusing on a wide array of civil, criminal and administrative
matters. In 2007-2008 he briefly served as an administrative law
judge for various state agencies before returning to the Department.
TENTATIVE PROGRAM & SESSION DESCRIPTIONS (cont).
Wednesday, March 12
FACULTY (cont.)
Mr. Humphress received a B.A. degree from Kentucky Wesleyan
College and a J.D. degree from the University of Louisville.
in March, 2002, he serves as a consultant to the alcohol industry
on compliance matters from his office in Walnut Creek, CA.
COLLEEN M. HUNTER is Director of Licensing for Darden Restaurants,
Inc., which owns and operates over 1,900 establishments carrying
more than eight brands. Ms. Hunter and her team are responsible
for due diligence and acquisition work for 70-100 new restaurants
and 7,500 license renewals annually. She is a founding member
and serves on the Board of Directors of the National Association
of Licensing and Compliance professionals. Ms. Hunter has a
B.A. degree from Florida State University and an M.B.A. from the
University of Central Florida.
STEVEN L. SCHMIDT is Senior Vice President of Public Policy and
Communications for the National Alcohol Beverage Control
Association (NABCA). Presently he is overseeing the research
and development of policy, best practices, and communication
strategies to assist states manage control and regulatory
systems and prevent alcohol related harm.
SAM KAMIN is Professor and Director, Constitutional Rights
and Remedies Program at the University of Denver Sturm
College of Law, where he has taught since 1999. Prof. Kamin
advised the Colorado Department of Revenue on its regulations
implementing the production and distribution of recreational use
marijuana. He received a B.A. degree from Amherst College, a
J.D. degree from Boalt Hall School of Law and a Ph.D. degree
from the University of California Berkeley.
K. AUSTIN KERR is Professor Emeritus of History, Ohio State
University. He is the author of “Organized for Prohibition: A
New History of the Anti-Saloon League” and several writings
on the history of the American brewing industry. Since retiring
in 2004 Prof. Kerr has published “In the Shadow of Prohibition:
Domestic American Alcohol Policy Since 1933.”
NICK A. LUCCA is the President of Lionstone International, an
importer and wholesaler of wines which he started in 1989.
The company continues to be a leader in the sourcing and
distribution of wines through a compliant management system
enabling licensees to ship wines directly to consumers in
accordance with state laws.
MICHAEL D. MADIGAN is managing partner of the Minneapolis law
firm of Madigan, Dahl & Harlan, P.A., where he practices in the
areas of administrative, antitrust, commercial, distributor, dealer
and franchise law. Mr. Madigan also serves as an arbitrator and
mediator on the Complex Commercial Panel of the American
Arbitration Association. He received a B.A. degree from
Hampshire College and a J.D. degree from William Mitchell
College of Law.
KAREN O’KEEFE manages state legislative advocacy work for
the Marijuana Policy Project. She is responsible for updating
MPP’s model medical legislation and has played a role in
medical marijuana legislative efforts in a number of states. Ms.
O’Keefe received a J.D. degree from Loyola School of Law in
New Orleans.
EDWARD O’TOOLE is a retired national Program Manager for
the U.S. Treasury Department’s Bureau of Alcohol, Tobacco
and Firearms (now the Alcohol and Tobacco Tax and Trade
Bureau [TTB]). Additionally, Mr. O’Toole was presented over 250
business practices and other compliance seminars for alcohol
industry producers and wholesalers in the ten Western States
and is nationally recognized as an expert in FAA Act enforcement
and compliance matters. Since his retirement from the Bureau
DEBORAH A. SKAKEL is a partner in the business litigation practice
in the New York office of Dickstein Shapiro LLP. Her practice
focuses on a wide array of complex civil litigation matters and
has substantive experience handling regulatory and other issues
relating to the alcohol beverage industry. Ms. Skakel received
a B.A. degree from Syracuse University and a J.D. degree from
Cornell University Law School.
KRISTEN TECHEL is a partner in San Francisco-based Strike &
Techel, Beverage Law Group LLP, where she specializes in
nationwide advertising, promotion and marketing of alcohol
beverages, including sweepstakes, contests, discounts and
coupons. She received a B.A. degree from UCLA and a J.D.
degree from Boalt Hall School of Law.
CHARLES TULL is a Special Operations Investigator in the Trade
Investigations Division at the Alcohol and Tobacco Tax and Trade
Bureau. He leads and coordinates complex field investigations
and participates in the development and coordination of program
policies related to industry trade practices. Mr. Tull also provides
technical advice and guidance to industry members and other
federal and state agencies. He started with TTB’s predecessor
agency in 1976.
SYMPOSIUM INFORMATION
HOTEL & RESERVATIONS
TRAVEL & TRANSPORTATION
Westin Alexandria
400 Courthouse Square Alexandria, VA 22314
Phone: 703-253-8600
Fax: 703-253-8605
www.westinalexandria.com
Ronald Reagan Washington National (DCA) is approximately
15 minutes (6 miles) from the Westin Alexandria. Commercial
air carriers serviced by DCA include AirCanada, AirTran,
American Airlines, Delta, Fly Frontier, Jet Blue, Southwest,
United, and US Airways. For more information, please visit
www.metwashingtonairports.com/reagan.
Standard Group Room Rate:
$265.00 + 11.5 % tax + $1.00 occupancy fee per night
TAXI SERVICE: Taxi Service is located near the Arrivals
(baggage claim) exits of each terminal for approximately $30
one-way.
State Representative ONLY Group Room Rate:
$215.00 + 11.5 % tax + $1.00 occupancy fee per night
Phone: 1-800-937-8461
Online: Visit www.nabca.org and click on the Legal
w
Symposium link. Scroll down to find the Starwood
reservation link.
• Attendees are responsible for making their own hotel and
travel arrangements. Please be aware that NABCA may
view your reservation information via group rooming list.
• NABCA’s room block will be held until the cut-off date,
Friday, February 14, 2014. After the cut-off date, reservations
received will be accepted on a space available basis.
Please make your reservations as early as possible, as there
is no guarantee that the hotel will not sell out prior to the cut
off date.
• All reservations must be accompanied by a first night’s
room deposit or guaranteed by a major credit card.
• Cancellations must be received 24 hours in advance of
arrival to avoid a penalty charge of one night’s stay.
• Check-in begins at 3:00 PM and check-out is at 12:00 PM.
Hotel Parking
There is no self-parking at the hotel.
SHUTTLE SERVICE: A complimentary shuttle service is
available from the King Street Metro to the Westin. Please call
the hotel upon arrival at 703.253.8600.
METRO: Metrorail stations are connected to the concourse
level of terminals B and C at Reagan National Airport. Metrorail
fare cards may be purchased at machines located at all
entrances to the Airport Metrorail station. The Blue and Yellow
lines will stop at the King Street Metro located 3 minutes (.5
miles) from the hotel.
For further travel instructions, please visit www.nabca.org and
click on the Legal Symposium link. Scroll down to the find the
transportation link.
Washington Dulles International Airport (IAD) is
approximately 37 minutes (32 miles) from the Westin
Alexandria. Commercial air carriers serviced by IAD include
AirCanda, AirTran, American Airlines, Continental Airlines,
Delta, JetBlue, United Airlines, and US Airways. For more
information, please visit www.mwaa.com/dulles.
TAXI SERVICE: Taxi Service is available at the lower level of
the Main Terminal for approximately $95 one-way.
WEATHER & ATTIRE
alet Parking Rates:
V
Daily: $10.00 per day
Overnight: $26.00 per day
* If you dine at Trademark restaurant, they will validate your
parking.
Please return registration form by
Dress is business casual throughout the Symposium.
Average Alexandria, VA temperatures in March range from
56° F to 38° F with a precipitation rate of 3.5 inches. Please
pack accordingly.
FRIDAY, FEBRUARY 14, 2014!
Mail: 4401 Ford Avenue, Suite 700,
Alexandria, VA 22302
For questions regarding meeting logistics, please contact the Meetings
Department at 703-578-4200 or meetings@nabca.org.
Email: meetings@nabca.org
Cancellation Policy: A refund, less an administrative processing fee
of $25.00, will be remitted for all cancellations made in writing to
NABCA by Friday, February 14, 2014. No refunds will be made for
any cancellation received after that date.
Secure Fax: 703-824-3377
Online: www.nabca.org
21st Annual Legal Symposium on
ALCOHOL BEVERAGE LAW & REGULATION
Registration Form
REGISTRANT NAME
BADGE NAME (if different from registrant name)
ORGANIZATIONTITLE (required)
ADDRESS
CITY, STATE & ZIP
TELEPHONEFAX
E-MAIL
ITINERARY (This information is crucial for food function guarantees. Thank you for your cooperation.)
ARRIVAL 3 /____ / 14 ____AM / PM
DEPARTURE 3 /____ / 14
____AM / PM
_____ Lodging at Westin Alexandria
_____ Lodging at other hotel or local resident
Other Requests (including diet restrictions & allergies): ______________________________________________________
CLE credit requests (Please list the states of request along with Bar number.)
State:
________________________________________
Bar #:
________________________________________
REGISTRATION FEES (The registration fee includes attendance at the symposium, all meal functions and program materials.)
After February 14th
Appointed Control State Representative
Member and Non-Member: State and Governmental Agencies
Member: Industry/Trade Association (Supplier, Broker, Association, Allied)
Non-Member: Industry/ Trade Association (Supplier, Broker, Association, Allied)
Waived
$295
$595
$895
Waived
$345
$645
$945
PAYMENT METHOD (this portion of the form will be shredded immediately after processing)
No registration will be processed without an accompanying check made payable to NABCA or authorization to bill your VISA, Mastercard or
American Express. DO NOT SEND REGISTRATION FORM WITHOUT PAYMENT. Early Registration ends on Friday, February 14, 2014.
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Submit This Form To:
NABCA Meetings Department • 4401 Ford Avenue, Suite 700 • Alexandria, Virginia 22302
Tel: 703.578.4200 • Secure Fax: 703.824.3377 • Email: meetings@nabca.org • Online: www.nabca.org
National Alcohol
Beverage Control Association
4401 Ford Avenue • Suite 700
Alexandria, Virginia 22302
www.nabca.org