Tag Archives: Judge Caproni

Judge Caproni: Compliance Communications Prepared Outside of Attorney-Client Relationship Are Not Privileged

Judge Caproni recently held in the context of a SEC enforcement action that communications with an outside compliance firm were not privileged.  The communications at issue contained advice from a compliance consulting firm which, though staffed by attorneys, provided advice pursuant to a consulting agreement that specifically disclaimed the attorney-client relationship.… Continue Reading

Judge Caproni Warns Serial Class Objector About Using Local Counsel as Sanctions Shield

In an opinion yesterday, Judge Caproni warned Christopher Bandas, an attorney who serially files class action objections, about his apparent practice of attempting to use local counsel as a shield against sanctions, though she ultimately declined to sanction Mr. Bandas: Bandas’ failure to provide any legitimate support for [the class objection] would be enough to … Continue Reading
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