Legal Listening: The Fox Rothschild LLP Podcast Foxcast Legal Listening

What's the secret to successfully recruiting advisors? Understanding that moving from one firm to another is probably one of the most stressful things that an advisor can go through.

That’s what Jodi Perry, National Head of Advisor Recruiting at Raymond James, tells host Matt Baum in this episode.

Jodi, who blazed a trail 20 years ago as the first female recruiter at her firm, discusses how and why she made the move to create her current position at Raymond James and the strategic initiatives she’s looking to implement for the firm. She also offers advice for women interested in working in financial services and shares insights on how to be a good recruiter.

Episode 38
A Blueprint for Compliance: The Fraud Pentagon Theory

How can you pinpoint employee behaviors that signal a potential risk of fraud in your company, especially if you operate in a highly regulated industry?

Join host Matt Adams for this insightful episode featuring Nicole Sliger and Jonathan Marks, forensic accountants with the global accounting and consulting firm, BDO.

The trio provides practical guidance on compliance management, informed not only by personal experiences but also the five components of the Fraud Pentagon Theory. Developed by Jonathan, this theory helps companies identify the human element that can lead to employees engaging in activities that put a company at risk for white-collar crimes.

You’ll learn to recognize key red flags and take actionable steps to safeguard your organization.

Episode 37
Vintage or Trendsetting? The SDNY's Whistleblower Pilot Program

The Department of Justice launched a Whistleblower Pilot Program in the Southern District of New York in February. But is it a groundbreaking program, or an existing policy simply wrapped in fresh branding?

Seasoned white-collar litigator Andrew Bernstein joins his partner and series host Matt Adams to dissect the program. The two give their candid opinions on its limitations, effectiveness and potential for expansion outside the SDNY.

Listen to find out why it’s critical to contact an attorney before making a self-disclosure directly through the program

Special Edition: Episode 36
Rolling Change: The DEA Turns Over a New Leaf on Marijuana Scheduling

The U.S. Drug Enforcement Agency (DEA) triggered high hopes when it recently announced it wants to accept the U.S. Department Health and Human Services’s recommendation to reschedule marijuana from Schedule I to Schedule III.

Josh Horn, Co-Chair and founder of our Cannabis Law Practice, joins host Matt Adams to explore this trailblazing announcement by the DEA.

Their discussion digs into the business and banking ramifications for cannabis companies of the potential rescheduling. They also explore social justice issues for people formerly incarcerated for nonviolent crimes related to the possession and use of the marijuana. And they examine the parallels to Prohibition as well as consider the benefits rescheduling could have for medical research and municipal revenue generation.

How can a chief operating officer be most impactful at a registered investment advisor firm?

In this episode, host Matt Baum chats with Matt Sonnen, COO of Coldstream Wealth Management. They discuss what it means to be a COO in an RIA firm, building trust with leadership and crafting both the right company culture and streamlined operational processes for long-term success.

Episode 35
A Double-Edged Sword? The DOJ Confronts AI

Like all new technologies, AI isn’t naturally good or bad. But it can be used by people motivated to do terrible – and possibly criminal – things.

That’s the view of Mark McCreary, our Chief Artificial Intelligence & Information Security Officer. He joins series host Matt Adams to discuss AI in light of DOJ Deputy Attorney General Lisa Monaco’s public statements this year surrounding the emerging technology.

Mark offers his perspective on the future of machine cognition, including whether it’s possible to recognize potential criminal activities aided by AI. The pair also explores legal and ethical perspectives of using generative AI in the workplace. You’ll hear valuable recommendations on how to incorporate this new technology into your business while establishing guardrails and policies to keep proprietary and personal data secure.

If you’re using or considering using Gen AI in your workplace, this episode is for you.