Things can get tricky when it comes to effectively overseeing the legal hold process. There are many moving parts and people involved, and a poorly executed hold can result in spoliation, business disruption and unnecessary costs to your company.

Here’s just one recent misstep: On July 17th, the SEC announced that it had censored BGC Financial and imposed a $1.25 million penalty to settle charges that it had failed to preserve evidence sought by the SEC. The company’s misstep? The SEC found that BGC had deleted relevant audio files.

What could BGC have done differently? Watch this video below on legal hold best practices (aka, how not to mess up a hold).


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Questions we address:

  • What are your legal hold and compliance obligations?
  • How should you notify employees and others of the obligation to retain evidence?
  • What does a defensible and cost-effective corporate preservation program entail?
  • How have the courts and the revised Federal Rules changed how legal holds are handled?


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John Tredennick

John is the founder of Catalyst Repository Systems, which designs, builds and runs the world's fastest and most powerful software platform for complex e-discovery, regulatory investigations and compliance. A former trial lawyer and litigation partner with a large national law firm (20+ years), John has written or edited five books and countless articles on litigation and technology issues and has spoken before legal-technology audiences in five continents. Recently, The American Lawyer named him one of the top six e-discovery trail blazers in its issue on the “Top 50 Big Law Innovators of the Last 50 Years.”


Thomas Gricks

Jennifer S. Coleman | Associate | Hopkins Carley

Jennifer is a trial lawyer and member of Hopkins & Carley’s Intellectual Property Practice. She represents clients in complex litigation cases, including patent, copyright, trademark and trade secret litigation. Jen also has significant experience with federal and state court e-discovery issues and has received an LPM LaunchPad™ Certificate in Fundamentals of Legal Project Management. She is a member of The Sedona Conference Working Group on Electronic Document Retention & Production (WG1) and Trade Secrets (WG12) and is an Adjunct Professor at Golden Gate University School of Law, teaching e-discovery.

Thomas Gricks

Daniel J. Polatsek | Partner | Katten Muchin Rosenman LLP

Dan Polatsek concentrates his practice in corporate litigation, white collar criminal defense and internal investigations. His clients span several different industries including financial services, insurance, banking, healthcare and commercial lending. Dan is frequently a featured speaker and author on conducting internal investigations, preservation of the attorney-client privilege and issues involving e-discovery. Prior to joining Katten, he served as the judicial law clerk to Justice McBride of the Illinois Court of Appeals for the First District.


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About Catalyst

Catalyst designs, builds, hosts and supports the world’s fastest and most powerful e-discovery platform. For 20 years, Catalyst has helped global corporations reduce the total cost of discovery and take control of complex, large-scale discovery and regulatory compliance.

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