Forensic Update

Reflections on information management within the legal and regulatory arena

Archive for the ‘Social Networking’ Category

2013 in review

Posted by Johnny Lee on January 1, 2014

The WordPress.com stats team prepared a 2013 annual report for this blog.

Click here to see the complete report.

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Posted in Announcement, Computer Forensics, Data Governance, ECM, eDiscovery, Fraud, Information Security, Investigations, Litigation Hold, Privacy, Records Retention, Social Networking | Comments Off on 2013 in review

Regulator Fines Financial Services Company $9 Million for Email Spoliation…

Posted by Johnny Lee on May 28, 2013

FINRAThe Financial Industry Regulatory Authority (“FINRA”) announced last week that it had levied fines against LPL Financial LLC (“LPL”) to the tune of $7.5 million for thirty five “separate, significant email system failures, which prevented LPL from accessing hundreds of millions of emails and reviewing tens of millions of other emails.”  FINRA also determined that LPL had made “material misstatements” during FINRA’s inquiry into the email failures, resulting in the establishment of a $1.5 million fund “to compensate brokerage customer claimants potentially affected by its failure to produce email.”

While this is technically not a spoliation sanction, which can only be issued by a court, it is nonetheless what those in the eDiscovery arena recognize as punishment for the failure to preserve relevant evidence.  FINRA’s Chief of Enforcement said that LPL simply failed to “expand its compliance and technology infrastructure” as LPL grew.  This resulted in LPL failing “in its responsibility to provide complete responses to regulatory and other requests for emails.”

To be clear, FINRA felt that these failures were both systemic and severe.  To illustrate just a few of the thirty five enumerated failures, see just a few examples below.

  • LPL failed to supervise 28 million “doing business as” (DBA) emails sent/received by thousands of representatives who were operating as independent contractors over a four-year period.
  • LPL failed to maintain access to hundreds of millions of emails during a transition to a less expensive email archive (with 80 million of those emails becoming corrupted in the process).
  • For seven years, LPL failed to preserve and review 3.5 million Bloomberg messages, as required by regulation.
  • LPL failed to preserve emails sent to customers via third-party email-based advertising platforms.

The Chief of Enforcement sums this up in a rather pithy statement: “This case sends a strong message to firms to make sure your business does not outgrow your compliance systems.”  Indeed…message received.

For more on FINRA’s consent announcement, please click here. To read the actual consent agreement, please click here.

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Upcoming AIIM Webinar on Information Governance…

Posted by Johnny Lee on September 2, 2012

ForensicUpdate editor will lead a presentation in late September on “Information Governance in our Social World.”  The webinar will be hosted by Autonomy and produced by AIIM.

The description for the webinar is as follows: “Information Governance is concerned with defining accountability for an organization’s information assets. If governance is implemented properly – that is, if there is GOOD governance – the organization’s information management should be compliant with any relevant legislation or regulations.

In addition to good governance, organizations need to be consistent with their departmental policies – the kinds of policies that are often sporadically enforced and/or are contradictory from one department to the next (i.e., HR or accounting retention or security policies that differ from IT’s practices).

Join this webinar to learn the latest on how Information Governance will address all the multi repository and social media interfaces that impact your organization’s policies — including those that attempt to govern behavior within your organization as well as those that affect your customers and other partners and providers. Learn tips on how to improve your information governance programs for better compliance, better processes, and better information management.”

Please see the disclaimer associated with content published on (and associated with) this site.

 

Posted in Data Governance, ECM, eDiscovery, Information Security, Litigation Hold, Records Retention, Social Networking | Tagged: , , , , , , , , , , , , , , , , , , , , , , , | Comments Off on Upcoming AIIM Webinar on Information Governance…

ForensicUpdate Editor to present on two CyberSecurity Panels…

Posted by Johnny Lee on May 7, 2012

This year’s AccessData User’s Conference will be help in Las Vegas. This conference brings together world-class instruction from real-world industry practitioners, and it provides a wealth of information related to cybersecurity, forensics, and eDiscovery.

This three-day conference will include luminaries from around the world, leading sessions and delving into the complexities related to acquiring, analyzing, and managing data in fast-paced environments and situations. There is a variety of break-out sessions and hands-on laboratories designed to improve the participants’ skills and to apply what they have learned.

ForensicUpdate editor, Johnny Lee, will participate in two panel discussions: “Data Governance and eDiscovery” and “Data Breaches.”  Click here for more details.

Posted in Computer Forensics, Data Governance, eDiscovery, Information Security, Investigations, Privacy, Records Retention, Social Networking | Tagged: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Comments Off on ForensicUpdate Editor to present on two CyberSecurity Panels…

General Counsel Toolworks Forum: Data Governance & eDiscovery

Posted by Johnny Lee on December 1, 2011

Sponsored by Grant Thornton LLP’s Forensic & Litigation professionals, the Forum offers educational events and resources for today’s in-house counsel and corporate senior management. We collaborate with trial and transaction lawyers from some the nation’s leading law firms to bring you periodic complimentary webcasts addressing important financial, operational and legal issues that can impact your organization.

Each event will be supported by a customized Toolbox — documents and other resources offering guidance on the topics covered by the webcast.  The next Toolworks Forum will focus upon the state of the e-discovery marketplace; the importance of intelligent, proactive information and litigation management; and practical steps companies can take to reduce expenses and risks associated with civil litigation and government investigations.

This webinar event will be held on Thursday, January 19, 2012, and it will begin at 1:00pm Eastern time and continue for 90 minutes.  CLE credit has been applied for, and full details can be found here.  Johnny Lee, Director in Grant Thornton’s Forensic & Litigation practice, and Dante Stella, eDiscovery practice leader at Dykema Gossett, will present.

Posted in Computer Forensics, Data Governance, ECM, eDiscovery, Information Security, Investigations, Litigation Hold, Records Retention, Social Networking | Tagged: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | 1 Comment »

Divorce Law ruling with potentially far-reaching eDiscovery implications…

Posted by Johnny Lee on November 10, 2011

Facebook-Divorce-Status-Update

A fascinating case from Connecticut may shake up the eDiscovery world.  About a month ago, Judge Kenneth Schluger ordered that soon-to-be-divorced couple Stephen and Courtney Gallion exchange the login information for their Facebook and dating websites.

Like many recent examples from the case law, the reasoning adopted by the court was that the content found within these accounts speaks directly to a matter before the bar.  Namely, Stephen Gallion is alleging that such content raises questions of parental fitness, something that speaks directly to the issue of custody in this divorce case, according to his divorce attorney Gary Traystman.

The reason this was elevated to the judge is that a prior agreement between the parties to share these account credentials broke down after evidence arose (according to Traystman) that Courtney Gallion had texted a friend, requesting that the recipient log into her accounts, delete some messages, and change some passwords.  The judge issued an injunction against such misbehavior, and he then ordered the parties’ attorneys to exchange passwords for such accounts held by both spouses as a furtherance to the discovery process.

Interestingly, this judicial order violates Facebook’s terms of service.  This raises questions of conflicting guidance, among others, though the parties are undoubtedly going to err on the side of listening to a judge.  As traditional notions of privacy continue to morph within the legal landscape, we will undoubtedly see more of these cases…so be careful what you put into your digital archiveno matter how private you believe it to be, it is both permanent and potentially discoverable.

Posted in Computer Forensics, eDiscovery, Fraud, Information Security, Investigations, Privacy, Records Retention, Social Networking | Tagged: , , , , , , , , , , , , , , , , , | Comments Off on Divorce Law ruling with potentially far-reaching eDiscovery implications…

“Controlling your Data Avalanche” Webinar…

Posted by Johnny Lee on October 27, 2011

 

I am pleased to announce that I will join luminaries from Vedder Price, a prominent U.S. law firm, in a discussion on “Managing your Data Avalanche” on November 16, 2011.  This webinar will delve into strategies for satisfying an organization’s legal obligations associated with Records Retention, eDiscovery, Litigation Holds, and Data Privacy.

“All too often, companies approach their data management obligations reactively and in a piecemeal fashion. This need not be the case; in fact, companies can satisfy their legal obligations with greater certainty — and more economically — through comprehensive data management strategies.”

This Webinar will be of interest to General Counsel, Chief Compliance and Information Officers, and those with a key role in managing eDiscovery or litigation within an organization.  This Webinar will provide an overview of legal trends in data management, with a specific focus on social media, cloud computing, eDiscovery, litigation holds, and data breach preparedness and response.  We will discuss ways in which companies can better manage their data through proactive data-management strategies.

To register for this webinar, please click here.  (Login information and presentation materials will be sent to registrants prior to the webinar.)

Click to learn more about Grant Thornton’s Forensics, Investigations and Litigation practice.   Click to learn more about Vedder Price’s Records Management, eDiscovery and Data Privacy practice.

Posted in Announcement, Computer Forensics, Data Governance, ECM, eDiscovery, Forensic Accounting, Information Security, Investigations, Litigation Hold, Privacy, Records Retention, Social Networking | Tagged: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Comments Off on “Controlling your Data Avalanche” Webinar…

Excellent Session with the IT GRC experts at annual ISACA Conference…

Posted by Johnny Lee on October 26, 2011

ISACA_ITGRC-LogoLast week, I had the pleasure of presenting to a lively audience at the world’s leading conference for IT governance, risk and compliance professionals. The event, hosted at the Ritz-Carlton Hotel in Orlando by the good folks at ISACA, brought together a panoply of experts in the auditing, compliance, privacy, and information security space.

I presented on the subject of Data Governance and Electronic Discovery, and how these concepts represent “flip sides of the same coin.” What was particularly rewarding for me was the level of interest and participation during our interactive case study. Thanks to all who attended and participated last week…I enjoyed myself immensely, and I hope that you found it a rewarding discussion.

Posted in Computer Forensics, Data Governance, ECM, eDiscovery, Fraud, Information Security, Investigations, Litigation Hold, Privacy, Records Retention, Social Networking | Tagged: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Comments Off on Excellent Session with the IT GRC experts at annual ISACA Conference…

Panel discussion: “Data Governance & Electronic Discovery – Flip Sides of the Same Coin”

Posted by Johnny Lee on September 22, 2011

SIM AtlantaForensicUpdate editor, Johnny Lee, is moderating a panel entitled “Data Governance and Electronic Discovery – Flip Sides of the Same Coin.”  The luncheon event, hosted by the Atlanta chapter of the Society for Information Management will be held tomorrow, September 23rd at The Georgian Club.

Joining me on the dais will Ed Shubert, 25-year veteran of the F.B.I. and current Director of Corporation Security at McKesson; Marty Smith, former Chief Information Officer at ChoicePoint; and Michael de Janes, former General Counsel and Chief Data Officer at ChoicePoint.  I’m excited about diving into some complex issues with these gentlemen, and I hope to see some familiar faces in the crowd.  Details on the event can be found here.

Posted in Announcement, Data Governance, ECM, eDiscovery, Information Security, Investigations, Litigation Hold, Privacy, Records Retention, Social Networking | Tagged: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Comments Off on Panel discussion: “Data Governance & Electronic Discovery – Flip Sides of the Same Coin”

Radio Show Appearance: Guest Expert on Business Fraud Awareness

Posted by Johnny Lee on September 6, 2011

ForensicUpdate editor, Johnny Lee, hit the airwaves again with colleague Philip Ratliff.  This time our host was Alan Butler, host of Atlanta’s Premier Business Talk Show “Butler on Business.”  Alan and co-host Jason Riddle facilitated a lively discussion covering a areas of concern to business owners and managers alike.

Listen as Philip Ratliff and Johnny Lee of Grant Thornton LLP’s Atlanta Forensics & Litigation practice comment on a broad variety of fraud issues facing organizations—especially in a down economy.  Segment one of the program can be found here; segment two can be found here. Please note that the views and opinions expressed are personal views and are not necessarily those of Grant Thornton; click here for more on this.

Posted in Computer Forensics, Data Governance, ECM, eDiscovery, Forensic Accounting, Fraud, Information Security, Investigations, Litigation Hold, Privacy, Records Retention, Social Networking | Tagged: , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Comments Off on Radio Show Appearance: Guest Expert on Business Fraud Awareness

 
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