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Maintaining Client Confidences During the Holidays: Avoiding Accidental Tipping



by Dixie L. Johnson
Fried, Frank, Harris, Shriver & Jacobson LLP - Washington Office

January 6, 2014

Previously published on December 23, 2013

With holiday cheer in full swing, it is time once again to consider how to avoid putting family and friends in danger by inadequately protecting material, nonpublic information entrusted to us at work. Previous writings provided an overview of applicable law and examples of unfortunate accidental tipping situations in prior years (When the SEC Alleges Tipping (August 2011), Topics to Avoid in Holiday Conversation (November 2011), and Wrong Kind of Holiday Present for Family and Friends (December 2012)). This year, unfortunately, the best lessons come from cases the U.S. Securities and Exchange Commission brought involving law firm lawyers, two partners and one associate.


 

The views expressed in this document are solely the views of the author and not Martindale-Hubbell. This document is intended for informational purposes only and is not legal advice or a substitute for consultation with a licensed legal professional in a particular case or circumstance.
 

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