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Electronic communications—cell phone texts, web posts, tweets and, of course, e-mail—have been a game-changer for financial advisers, brokers and others in the financial industry embroiled in disputes or litigation and, as a result, facing external review of both paper and electronic company records by FINRA, the SEC or opposing counsel during discovery.
Electronic communications—cell phone texts, web posts,
tweets and, of course, e-mail—have been a game-changer for
financial advisers, brokers and others in the financial industry
embroiled in disputes or litigation and, as a result, facing
external review of both paper and electronic company records by
FINRA, the SEC or opposing counsel during discovery.
In this podcast, Joshua Horn explains the real meaning of the
"e" in e-mail, and the ramifications of this "e-mail
equation" for brokers, advisers and other financial industry
professionals.
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guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
