Edward Jacobs

Jan 26, 2024 | discoveryadvocate.com | David Choi |Edward Jacobs

BlogDiscovery AdvocateNews, Developments and Practical Advice on eDiscovery in the trenches of Litigation

Aug 11, 2023 | discoveryadvocate.com | Edward Jacobs |David Choi |Michelle N. Tanney

BlogDiscovery AdvocateNews, Developments and Practical Advice on eDiscovery in the trenches of Litigation

Aug 11, 2023 | lexology.com | Edward Jacobs |David Choi |Michelle N. Tanney

Financial Regulators Continue Focus on Off-Channel CommunicationsOn Aug. 8, the Securities and Exchange Commission (SEC) announced it had imposed $289 million in fines on 10 broker-dealers for violating recordkeeping provisions of federal securities laws. Similarly, the Commodity Futures Trading Commission (CFTC) announced on the same day that it had imposed $260 million in fines on four CFTC-registered firms for violating CFTC recordkeeping rules.

Jul 29, 2023 | discoveryadvocate.com | Edward Jacobs |David Choi

BlogDiscovery AdvocateNews, Developments and Practical Advice on eDiscovery in the trenches of Litigation

Jul 3, 2023 | jdsupra.com | Jonathan Barry Forman |Edward Jacobs |James Sherer

Key Takeaways On June 22, 2023, the Securities and Exchange Commission (SEC) published a consent order against J.P. Morgan Securities LLC (JPMorgan) for an alleged failure to retain millions of electronic communications as required by Rule 17a-4 of the Securities Exchange Act of 1934 stemming from the deletion of approximately 47 million electronic communications in about 8,700 retail banking group electronic mailboxes during a data remediation project.