Broker-Dealer Records Production Support
An examination request and a litigation document request look similar and are not. One is answered from an archive that was supposed to be compliant all along, and the gap between supposed and actual is where the findings come from. Broker-dealers and investment advisers live under records requirements that are continuous rather than event-driven. When […]
SEC Data Delivery Standards Compliance
PDFs are not an acceptable format for images. Deduplication and AI-assisted review must be approved by Enforcement before you do it. Google Drive and Microsoft 365 links are not accepted. All three are in the SEC’s own specification, and almost nobody reads it before producing. The Securities and Exchange Commission publishes exactly what a production […]
Wells Notice Document Production
By the time a Wells notice arrives, the staff has already read your documents and formed a view. The production that follows is not discovery. It is argument, and it is built from the record you already gave them. A Wells notice tells you the staff intends to recommend an enforcement action. What follows is […]
Subpoena Response and Emergency eDiscovery Services
Arlington, Virginia · Available 24/7/365 · Washington DC, Maryland & Nationwide Pro-Legal Services, Inc. provides subpoena response services, emergency eDiscovery, and expedited document review for law firms, corporate legal departments, and government agencies. These matters arrive without notice and run on deadlines that were set by someone else. We operate 24/7/365 with a named contact […]
False Claims Act Document Review
Recoveries against defense contractors went from $98.3 million to $633.9 million in one year. If you sell to the government, the document review you should be planning for is this one. False Claims Act matters are the part of government-related litigation that actually generates discovery. Unlike administrative-record cases, these are party-discovery cases with real volume […]