Texting Troubles: Tackling the mounting legal and compliance risks of business communication on personal devices

Shari A. Brandt
Rachel S. Mechanic
Margaret Winterkorn Meyers
Daniel C. Zinman
Shari A. Brandt | Perkins Coie LLP.
Rachel S. Mechanic | Perkins Coie LLP
Margaret Winterkorn Meyers | Perkins Coie LLP
Daniel C. Zinman | Perkins Coie LLP

On-Demand: November 14, 2023

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1 hour CLE
Tuition: $95.00
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Program Summary

Employees’ use of unapproved messaging platforms for business related communications – and their employer’s failure to monitor and preserve such communications, even if inadvertent – may cause employers to fail to preserve relevant documents, and also cause them to provide incomplete responses to subpoenas, requests for information issued by prosecutors, enforcement staff or private civil parties. Billions of dollars in penalties relating to this issue have already been imposed by regulators, and more fines are still expected. Discussion of the risks and what to do about them.

This course is co-sponsored with myLawCLE.

Key topics to be discussed:

  • Employer’s failure to monitor and preserve communications
  • Employers to fail to preserve relevant documents
  • Subpoenas, requests for information issued by prosecutors
  • Enforcement staff or private civil parties

Date / Time: November 14, 2023

Closed-captioning available

Speakers

Shari-A.-Brandt_Perkins-Coie-LLP_FedBarShari A. Brandt | Perkins Coie LLP.

Shari A. Brandt is the Litigation practice lead in the firm’s New York office. Her experience includes more than 25 years representing institutions and individuals in high-stakes matters, including white-collar criminal and regulatory proceedings, internal investigations, and complex commercial civil litigation.

Shari has particular depth in defending matters before the Commodity Futures Trading Commission (CFTC) and U.S. Securities and Exchange Commission (SEC), as well as litigating class action litigation alleging antitrust, securities laws, and Commodity Exchange Act violations relating to complex financial products. She regularly handles matters that proceed simultaneously in regulatory, white-collar defense, and civil litigation forums, as well as defending against investigations brought by U.S. attorney’s offices, the U.S. Department of Justice (DOJ), state attorneys general offices, and governmental and self-regulatory bodies.

Recognized in Legal 500 and Chambers USA, Shari has been described by clients as “very client service oriented,” “extremely smart, experienced, hardworking and thorough,” noting as well that she is “responsive and strategic” and “does a great job with really complex cases.

 

Rachel-Mechanic_Perkins-Coie-LLP_FedBarRachel S. Mechanic | Perkins Coie LLP.

Rachel maintains a broad litigation practice representing and advising corporate clients, board committees, senior executives, and other individuals in securities enforcement proceedings, complex commercial litigations, and white-collar criminal matters. Rachel also represents law firms in professional liability disputes.

Rachel often represents clients in matters that proceed simultaneously in regulatory, white-collar defense, and civil litigation forums, including courts at the federal and state levels, arbitrations, and mediations. She also has extensive experience defending clients in investigations and enforcement proceedings conducted by the U.S. Department of Justice (DOJ), U.S. Securities and Exchange Commission (SEC), U.S. Commodity Futures Trading Commission (CFTC), and state attorneys general offices, among numerous other governmental and regulatory bodies. These include matters relating to alleged accounting fraud, securities fraud, sexual harassment and retaliation, and economic sanctions.

In addition, Rachel regularly advises and represents traders and financial advisors in connection with investigations and inquiries by the Financial Industry Regulatory Authority (FINRA) relating to allegations of spoofing, violations of the best execution requirement, suitability, and matters relating to Form U4 disclosures. She routinely defends registered representatives in FINRA arbitrations arising from customer complaints. Rachel also negotiates U5 disclosure language on behalf of clients and has successfully represented financial advisors in connection with Form U4 expungement actions.

 

Margaret-Meyers_Perkins-Coie-LLP_FedBarMargaret Winterkorn Meyers | Perkins Coie LLP.

Margaret Meyers maintains a broad litigation practice representing institutions and individuals in government and internal investigations, regulatory proceedings, civil litigations, and white-collar criminal matters. Margaret brings to her law practice the drive, teamwork, and composure she developed as a collegiate athlete, delivering high-value service to her clients.

Margaret’s clients include public companies, investment banks, broker dealers, private equity firms, investment advisers, corporate officers and directors, and other professionals. She often advises them in simultaneous parallel proceedings involving civil litigation, arbitrations, and mediations, as well as investigations and matters before the U.S. Department of Justice (DOJ), U.S. Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Federal Reserve Bank, Financial Industry Regulatory Authority (FINRA), state attorneys general offices, and other governmental and self- regulatory bodies. These include matters relating to alleged fraud, manipulative trading practices, failure to supervise, recordkeeping violations, market access, best execution, outside business activities, and related disclosures.

In addition, Margaret maintains an active pro bono docket. This work has included representing an incarcerated client in connection with his application for post-conviction relief based on his 1999 conviction by a nonunanimous jury, as well as representing individuals seeking asylum, Special Immigrant Visas, and humanitarian parole. Margaret has also represented pro bono clients in connection with their role as amici, including drafting submissions to the U.S. Supreme Court on issues relating to the Dormant Commerce Clause.

 

Daniel-C.-Zinman_Perkins-Coie-LLP_FedBarDaniel C. Zinman | Perkins Coie LLP.

Daniel C. Zinman has more than 25 years of experience representing institutions and individuals in securities enforcement proceedings, white collar criminal matters, complex commercial litigations, and internal investigations. He also represents law firms and attorneys in professional liability disputes, and board committees and board members in investigations and litigations.

Dan’s clients include investment banks, hedge funds, broker dealers, private equity firms, investment advisers, corporate officers and directors, law firms and lawyers, and other professionals. He often represents them in simultaneous parallel proceedings involving civil litigations, arbitrations, and mediations, as well as in investigations and matters before the U.S. Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC), Financial Industry Regulatory Authority, Inc. (FINRA), the U.S. Department of Justice (DOJ), state attorneys general offices, and other governmental and self-regulatory bodies.

Agenda

I. Risks to firms and employees posed by employees’ use of personal devices for business-related communications | 12:00pm – 12:10pm

II. Regulatory obligations for financial companies | 12:10pm – 12:25pm

III. Challenges and considerations for civil litigation | 12:25pm – 12:37pm

IV. Department of Justice guidance regarding corporate cooperation | 12:37pm – 12:41pm

V. Fifth Amendment implications | 12:41pm – 12:45pm

VI. Recommendations for navigating these challenges and lessons learned from recent settlements | 12:45pm – 1:00pm

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