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Grec Rules DisciplinaryComplaint_processMEDIUM

During a GREC investigation, investigator requests access to broker Tom Wilson's transaction files related to a complaint. Tom believes some files contain privileged attorney-client communications. What should Tom do?

Correct Answer

C) Provide the files but clearly identify and segregate privileged materials

Tom should cooperate with the investigation while protecting legitimate privilege claims by clearly identifying privileged materials. Option A is incorrect as it shows non-cooperation. Option B fails to protect valid privileges. Option D is illegal destruction of evidence and would result in severe penalties.

Answer Options
A
Refuse to provide any files until a court order is issued
B
Provide all files as requested without exception
C
Provide the files but clearly identify and segregate privileged materials
D
Destroy the privileged documents before turning over files

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Why the Other Options Are Wrong

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Related Topics & Key Terms

Key Terms:

investigation_cooperationprivileged_communicationsdocument_production
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