We offer clients pragmatic advice that carefully balances risk with business imperatives. 

  • Assisted large financial services company in developing appropriate controls related to ensuring compliance with U.S. SEC and FINRA regulations pertaining to electronic communications retention and supervision.

  • Advised large financial services company regarding the selection and implementation of a suitable replacement vendor for retention and supervision of electronic correspondence of its affiliated broker-dealers.

  • Completed review of internal controls and procedures at large financial services company relating to compliance with broker-dealer retention and supervision rules for electronic correspondence following a FINRA settlement.

  • Advised company and outside counsel in an internal investigation of a large financial services company relating to the significant failures of an electronic document retention system (Zantaz EAS).  Oversaw the subsequent remediation of the EAS environment which included the re-indexing of over 750 million messages and a subsequent disposition event.  

  • Assisted one of the ten largest global law firms in the development and implementation of an outsourced electronic discovery strategy including the coordination and implementation of a co-location data center solution, private cloud contract negotiation, and selection of third-party support services partners. Also assisted the firm in developing best practices for large-scale document review.

  • Assisted a large credit card company and commercial bank to re- implement a firm wide email archiving solution for approximately 40,000 users.

  • Assisted a large global media conglomerate to identify and implement a technology solution to archive, audit, and classify critical electronic business records including email, Instant Messaging (IM), and VOIP.  

  • Retained to advise and testify as a technical expert by the U.S. Attorney’s Office of the Southern District of New York in connection with a stock options backdating prosecution.

  • Assisted Independent Monitor appointed in connection with a FINRA settlement in its review of discovery processes and procedures at a large financial services institution.