not containing statements of advice, advisers failing to demonstrate reasonable basis for advice provided to the client, poor client records and lack of detail contained in advice documents, lack of supporting documentation on files to determine if there was a reasonable basis for the advice provided to the client, and, failing to provide sufficient evidence that clients were sophisticated investors.
The court ordered a 91-day suspension for the attorney who took and copied client files
of the original firm for his own use and a 60-day suspension for the attorney who maintained control of a few files for several days after leaving the original firm.
Other problems identified by DCS included incomplete client files
and a lack of qualified staff.
Being recognized with these prestigious awards is strong validation of Interwoven's commitment to providing professional services firms with the industry's most robust solution for the management of client files
, and for ensuring the best possible client experience," said Neil Araujo, vice president of professional services solutions at Interwoven.
However, for client files
with potential issues that may require longer retention periods, a written list of files to be destroyed (both paper and electronic) will be reviewed by each partner.
Electronic policy forms, such as PDF and Excel files, and e-mails, would be attached to client Files
Place notes in the client file
, and maintain only one set of client files
Editorial is designed to help organize client files
, determine the viability of a case, investigate all aspects of a case and determine whether a case should be settled before trial.
The client files
are stored in VFSs on the NAS server.
The new version is available in a client/server edition that lets up to 100 users access and update client files
stored on a central database server.
has added to its portfolio of marketing services and list compiling capabilities by establishing a new division devoted to appending e-mail addresses to their client files
The new software will replace the time-consuming paper-based system used previously while enabling counselors to build streamlined, complete, lender-ready electronic client files
that accurately record a client's progress over time and securely transfer the file to lenders for processing.