A Tribute to Jeff Kaplan

On Jeff Kaplan’s retirement

By Joe Murphy, CCEP

What motivates you to start something new?  Sometimes it can be a call from an old friend and colleague. Thus it was with my friend Jeff Kaplan.  Through the years Jeff and I have worked on a number of joint projects.  I remember when a publisher asked me to do a treatise on compliance programs.  I said only if I could recruit two excellent, one-draft writers, Win Swenson and Jeff Kaplan.  When both said “yes” we did the text Rebecca describes.  When I wanted to convince a local US Attorney to say good things about compliance programs, I called on Jeff to be the Devil’s Advocate (to tell an audience of corporate lawyers what the Devil thinks of such programs).  As Rebecca so accurately describes, Jeff had a wonderful sense of humor.  Only Jeff would have dressed in an actual devil’s costume.  And it worked:  the US Attorney wrote an article for the publication we both worked on, Corporate Conduct Quarterly, being one of the first in the US DOJ to say that compliance programs would count in determining how to treat companies breaking the law. 

When Karl Groskaufmanis asked me to chair a new Practising Law Institute seminar on corporate compliance programs, there was no question in my mind who to call to be a speaker:  Jeff.  When it came time for me to move on from that task, I knew Jeff & Rebecca could carry it forward. 

 Jeff and I had worked for years with Andy Singer of ethikos, publishing that journal 6 times a year.  Eventually there came a time when Andy Singer retired, and SCCE picked up the publication.  Jeff and I had done the book with Win, and continued to update it together for years.  The time came, though, to hand that back to the publisher. 

But we both missed working with each other.  Jeff asked me about what project we might do together next.  We looked at some ideas, until I read on LinkedIn that they were promoting newsletters.  Now here was an idea.  Jeff has always been an outstanding writer.  If I could get him, Rebecca, and Adam Balfour on board we could do it.  When they said “yes” I knew it would work. Thus, it was a call from Jeff that led to Compliance and Ethics:  Ideas & Answers coming to life.   

Rebecca’s story of how she met and worked with Jeff reflects his generosity in working with new people, and also his sharp ability to recognize outstanding talent. In the same way he used his perch at PLI to recruit new talent and contributors to our field.  When Jeff spotted a compliance issue that called out for more attention, he rose to the task.  His work on conflicts of interest has helped define the field.

How did Jeff and I meet?  I was working inhouse at the time in the late 1980s.  In 1988 Jay Sigler and I had just published our book on compliance programs, Interactive Corporate Compliance. I had learned that while your publisher will put your book out there, it is up to you to let others know about it. Jay and I wrote an article based on the book, for the National Law Journal.  As soon as it appeared I heard from Jeff. (This was before the internet, email, and social media. The print press was the way to reach people.)  We quickly connected; Jeff had been teaching about business ethics at NYU, and had developed a white-collar version of “scared straight,” where a convicted white-collar criminal would reveal to Jeff’s class how painful the experience had been.  When Jeff and I talked it became clear that we were going to go forward working together. 

What followed was years of compliance adventures.  PLI, speaking for the Del Val chapter of the Association of Corporate Counsel as the Devil’s Advocate, teaming with Win and me to produce our magnum opus, Rutgers University’s Corporate Conduct Quarterly, and then ethikos, ongoing exchanges of ideas and experiences, and now our newsletter, Compliance and Ethics: Ideas & Answers.

Another of Jeff’s contributions to the field was an amazing ability to coin phrases and memorable descriptions.  As Win Swenson mentioned recently at a Compliance Week conference, in explaining the history of the Sentencing Guidelines, the Commission held a major conference in 1995 examining the development of the USSGs.  People from all parts of this nascent field were there – it was truly a celebration and coming together of this new field.  But only Jeff could develop the exact bon mot: “The Woodstock of Compliance.”

But perhaps I can offer one additional perspective. I am someone who values humor highly, so I consider Mark Twain to be one of my personal heroes. His conduct was a beacon for others:  brilliant insights about human nature, the integrity not to let personal bankruptcy stop him from repaying all his debtors, his caring nature to ensure that a dying Ulysses S. Grant could finish and publish his memoirs so his family would be secure. He was the model of using humor to add spark and clarity to life.  So for me, I could take a step modeled after the descriptive power of my friend, Jeff, and call him out as the Mark Twain of compliance & ethics: insightful about human nature, deeply caring for others, brilliantly articulate and a sense of humor of the highest order. 

A Tribute to My Partner and My Friend

By Rebecca Walker

With Jeff Kaplan’s recent retirement from the practice of law, I wanted to share some reflections on his remarkable contributions to our field – and the profound impact he has had on my own journey.

I was 26 when I first met Jeff Kaplan, when he was a partner and I was an associate at a white-collar litigation boutique in New York.  Jeff was one of the first white-collar lawyers to recognize the importance of compliance.  He started advising clients on compliance programs in the early 1990s – when compliance was just getting started as a profession.  Under Jeff’s guidance, I quickly developed a deep appreciation for this field.

For those who have joined our cherished profession more recently, it may be hard to imagine how difficult it was to specialize in compliance in those early days.  There was just very little work.  As much as we (justifiably) complain about resources today, the resources that companies dedicated to compliance back then were a fraction of what they are now.  So, for a very accomplished litigator to hitch his wagon to the compliance star was a bold move in the early 90s.  It required conviction, tremendous foresight, and courage.  Jeff had all three.

Years later, after I had launched my own practice, Jeff called to suggest that we join forces.  That conversation led to the formation of Kaplan & Walker LLP nearly 20 years ago.  Over the two decades that followed, I have had the extraordinary privilege of practicing alongside Jeff – learning from his insights, his legal acumen, and his unwavering commitment to our field.  Together, we’ve had the opportunity to support and strengthen countless compliance programs, co-chair compliance conferences, and contribute to the development of a profession we both care deeply about.  I learned more from Jeff than I can possibly describe, and I’m profoundly grateful for the journey we shared.

A Pioneer and Builder of the Profession

For all those years, Jeff wasn’t just practicing compliance law – he was helping to build our profession.  For many years, he served as Counsel to the Ethics Officer Association (now the Ethics and Compliance Initiative), the first broad-based, cross-industry professional association for compliance and ethics officers.  Jeff also served as Program Director for the Conference Board’s annual Business Ethics conference and co-chaired its Council on Corporate Compliance. He was instrumental in organizing some of the first major conferences dedicated to compliance and ethics, creating forums where practitioners could share knowledge and develop the field collectively.

Jeff was also a pioneer in recognizing the importance of behavioral ethics to our field.  He always understood that effective compliance isn’t just about what decisions people make, but how they make them.  Long before behavioral insights became mainstream in compliance, Jeff was integrating these concepts into both his practice and his writing.  His early embrace of behavioral ethics reflects his understanding that effective compliance programs must account for human psychology and organizational dynamics – not just legal requirements.  It also speaks to his intellectual curiosity and his remarkable ability to recognize connections that others might not readily see.

Scholar and Thought Leader

Jeff also played a key role in shaping the intellectual foundation of the compliance profession.  Together with Joe Murphy and Win Swenson, Jeff co-edited Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability, a seminal legal treatise that helped define the framework for effective compliance programs and became essential reading for compliance professionals.

As co-publisher and executive editor of ethikos, Jeff helped build a vital forum for sharing best practices and advancing scholarship in our field.  He brought that same spirit to countless other platforms: writing a regular column for Compliance & Ethics Professional, authoring CCI’s first e-book (on risk assessment, a favorite topic of his), contributing articles to legal and industry journals, and offering timely insights on his long-running Conflict of Interest Blog.  Indeed, Jeff’s thought leadership continues today, through his blog and – of course – his editorial work on Compliance and Ethics: Ideas & Answers.

Jeff’s commitment to education and mentorship runs deep.  For many years, he chaired the compliance program sponsored by the Association of the Bar of the City of New York, co-chaired PLI’s Advanced Compliance and Ethics Workshop, served as Adjunct Professor of Business Ethics at NYU’s Stern School of Business, and contributed to the Ethical Systems research project at NYU.  Jeff consistently gave generously of his time and knowledge, mentoring countless lawyers and compliance professionals.  He understood that building a profession means building people.

In 2009, the Society for Corporate Compliance and Ethics recognized Jeff’s extraordinary contributions with a Compliance and Ethics Award, honoring him as a true “Compliance and Ethics Champion.”

The Person Behind the Legacy

What Jeff’s impressive bio can’t quite capture is the person behind the accomplishments. Jeff brings not only remarkable intellectual rigor to everything he does, but also warmth, humility, and a sharp (and at times, and I say this with great affection, caustic) sense of humor.

Working with Jeff for nearly twenty years at Kaplan & Walker was more than a professional partnership.  It was a friendship grounded in deep respect and a shared commitment to the compliance profession – a profession that is immeasurably stronger because of Jeff’s contributions.  Those of us who have had the privilege of working with him are better lawyers and better people because of his influence.  Jeff was a pioneer, a scholar, a mentor, and a friend to so many of us in this still nascent profession.  He was, in every sense, a champion of compliance and ethics.

On a personal level, I’m profoundly grateful for Jeff.  He has consistently championed me and my career.  He has been unfailingly generous in our partnership.  His influence shaped the compliance lawyer I became and the law firm that Kaplan & Walker is today.

Although Jeff has recently retired from the practice of law, his legacy lives on – in the profession he helped shape, the thousands of compliance programs he influenced, and the many professionals he mentored.  To my great delight, that legacy also endures in the firm he co-founded and helped build: Kaplan & Walker LLP.

Jeff’s day-to-day presence in the field will be deeply missed, but his influence will continue to guide us for decades to come.  

Enjoy your well-earned retirement, Jeff Kaplan.  We’ll carry forward your good work – and tend the compliance fire that you helped spark.