Vicki M. Lubben

Vicki’s areas of expertise include:

  • Sales, distribution, advertising, marketing and e-commerce
  • Investment adviser & broker-dealer regulation
  • Commercial transactions & strategic alliances
  • Corporate governance, controls and risk management
  • Compliance policies, programs and procedures
  • Privacy, information technology & security and data protection
  • Government and regulatory relations
  • Human resources management and employment issues
  • Insurance and annuity sales
  • Domestic and international outsourcing and offshoring arrangements
  • Records management

Vicki M. 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 RSM US, 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 client accounting services.  She also has routinely counseled clients on critical matters related to marketing, information technology and cybersecurity, privacy, and social media.

Before joining RSM US, Vicki had a long and distinguished career at 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.

Vicki can be contacted at vlubben@newgate.law or (612) 940-9219.