The topics Mr. Hartman presented were: 

• Provisions in the Accountant’s Engagement Letter with the Client to Attempt to Seek Reimbursement of Costs and Legal Expenses for Compliance with the Subpoena
• Protecting Privileges, Confidentiality, and Trade Secrets
• Proper Responses to Subpoenas
• Proper Methods to Locate, and Produce the Requested Documents
• Special Issues When the Subpoena is Issued by the Government
• Special Issues When the Subpoena Requests Information During an Ongoing Client Relationship
• The Need to Establish Proper “Litigation Holds”
• Other Actions to Take Upon the Receipt of the Subpoena
• The Need to Establish and Follow Written Document Retention/Destruction Policies Compliant with the Law and Professional Standards

Roy M. Hartman, a Director and Trial Counsel at Sacher Zelman Hartman, engages in a Complex Litigation Practice, representing accounting firms, banks and financial institutions, and private litigants, including regulated professionals, in such diverse matters as securities litigation, RICO, and other complex litigation matters.  

Mr. Hartman also engages in a Bankruptcy and Creditors’ Rights Litigation Practice, representing secured and unsecured creditors in a wide variety of bankruptcy matters. He has also been successful in numerous commercial foreclosure actions for lenders, and has frequently obtained and retained receivers, and pre-judgment writs of garnishment, replevin and attachment. He has successfully defended letter of credit claims and lender liability actions.

Mr. Hartman is a frequent lecturer to accountants and attorneys on matters pertaining to professional liability claims, best practices guidance, securities regulation, Sarbanes-Oxley, lender liability, creditors’ rights, and bankruptcy issues, among other topics.

Based upon his 36 years as a litigator, bankruptcy attorney, and business advisor, Mr. Hartman has also become a Florida Supreme Court Certified Circuit Civil Mediator.

Roy can be reached at (305) 371-8797 and rhartman@sacherzelman.com