Case Studies

Two Months to Tackle Three Million DocumentsA financial institution with an urgent matter had two months to review 3.6M documents (2.4TB of data).With that deadline, any time that reviewers spent on irrelevant documents or unnecessary tasks risked missing their deadline. So outside counsel called on Lighthouse to help efficiently review documents.AI and Experience Prove Up to the ChallengeUsing our AI-powered review solution, we devised an approach that coordinated key data reduction tactics, modern AI, and search expertise at different stages of review.Junk Removal and Deduplication Set the Stage We started by organizing the dataset with email and chat threading and removing 137K junk documents. Then we shrank the dataset further with our proprietary deduplication tool, which ensures all coding and redactions applied to one document automatically propagate to its duplicates. AI Model Removes 1.5 Million Nonresponsive Documents To build the responsive set, we used our AI algorithm, built with large language models for sophisticated text analysis. We trained the model on a subset of documents then applied it to all 2.2M TAR-eligible documents, including transcripts from chat platforms. The model identified 80% of the documents containing responsive information (recall) with 73% accuracy (precision). The final responsive set consisted of 650K family-inclusive documents—18% of the 3.6M starting corpus. AI Supports Privilege Detection, QC, and Descriptions Our AI Privilege Review solution supported reviewers in multiple ways.First, we used a predictive AI algorithm in conjunction with privilege search terms to identify and prioritize potentially privileged documents for review. During QC, we compared attorney coding decisions with the algorithm’s assessment and forwarded any discrepancies to outside counsel for final privilege calls. For documents coded as privileged, we used a proprietary generative AI model to draft 2.2K unique descriptions and a privilege log legend. After reviewing these, attorneys left nearly 1K descriptions unchanged and performed only light edits on the rest.Search Experts Surface the 300 Documents Most Important for Case Prep Alongside the production requirements for the Second Request, Lighthouse also supported the institution’s case strategy efforts. Each tranche of work was completed in 4 days and within an efficient budget requested by counsel, who was blown away by the team’s speed and accuracy. Using advanced search techniques and knowledge of legal linguistics, our experts delivered: 130 documents containing key facts and issues from the broader dataset, for early case analysis. 170 documents to prepare an executive for an upcoming deposition. Beating the Clock Without Sacrificing Cost or QualityWith Lighthouse Review—including the strategic use of state-of-the-art AI analytics—outside counsel completed production and privilege logging ahead of schedule. The financial institution met a tough deadline while controlling costs and achieving extraordinary accuracy at every stage.

The project included replacing expensive third-party archives with native tools in M365, utilizing an automation solution that Lighthouse had recently prototyped for a large global manufacturer, and other breakthroughs the institution was unable to make before engaging with Lighthouse. Our work with the institution helped unblock their Microsoft 365 deployment and ultimately led to disclosure to regulators for institution’s intent to use M365 as system of record.SIFIs have long wished for a better way to meet their mutability requirement. Historically, they have relied on archiving solutions, which were designed years ago and are poorly suited for the data types and volume we have today. For years, people in the industry have been saying, “Someday we’ll be able to move away from our archives.” It wasn’t until the introduction of M365 native tools for legal and compliance that “someday” became possible.Data Management for SIFIs is Exceptionally ComplexThe financial services industry is one of the most highly regulated and litigious sectors in the world. As a result, companies tend to approach transformation gradually, adopting innovations only after technology has settled and the regulatory and legal landscape has evolved.However, the rate of change in the contemporary world has pushed many financial heavyweights into a corner: They can continue struggling with outdated, clunky, inadequate technologies, or they can embrace change and the disruption and opportunities that come with it.From an eDiscovery perspective, there are three unique challenges: (1) as a broker-dealers, they have a need to retain certain documents in accordance with specific regulatory requirements that govern the duration and manner of storage for certain regulated records, including communications (note that the manner of storage must be “immutable”). This has traditionally required the use of third-party archive solutions that has included basic e-discovery functionality. (2) As a highly regulated company with sizable investigation and litigation matters, they have a need to preserve data in connection with large volumes of matters. Traditionally, preservation was satisfied by long-term retention (coupled by immutable storage) and without deletion. Today, however, companies seek to dispose of legacy data—assuming it is expired and not under legal hold—and are eager to adopt processes and tools to help in this endeavor. (3) They have a need to collect and produce large volumes of data—sometimes in a short timeframe and without the ability to cull-in-place. This means they are challenged by native tooling that might not complete the scale and size of their operations. This particular company’s mission was clear: to use M365 as a native archive and source of data for eDiscovery purposes. To meet this mission, Lighthouse needed to establish that the platform could meet immutability and retrievability requirements—at scale and in the timeframe needed for regulatory and litigation matters. Lighthouse Helps a Large Financial Institution Leverage M365 to Replace Its Legacy Archive SolutionLighthouse is perfectly positioned to partner with financial services and insurance organizations ready to embrace change. Many on our team previously held in-house legal and technology roles at these or related organizations, including former in-house counsel, former regulators, and former heads of eDiscovery and Information Governance. Our team’s unique expertise was a major factor in earning the trust and business of a major global bank (“the Bank”). The Bank first engaged with Lighthouse in 2018, when we conducted an M365 workshop demonstrating what was possible within the platform—most notably, at the time, the potential for native tools to replace their third-party archives. Following the workshop, the Bank attempted, together with Microsoft, to find a viable solution. These efforts stalled, however, due to the complexity of the Bank’s myriad requirements. In 2020, the Bank re-engaged Lighthouse to supports its efforts to fully deploy Exchange and Teams and, in doing so, to utilize the native information governance and e-discovery toolset, paving way for the Bank to abandon its use of third-party archiving tools for M365 data. Our account team had the nuanced understanding of industry regulations, litigation and regulatory landscape, and true technical requirements needed to support a defensible deployment.As a result, we were able to drive three critical outcomes that the bank and Microsoft had not been able to on their own: (1) A solution adequate to meeting regulatory requirements (including immutability and retrievability). (2) A solution adequate to meeting the massive scale required at an institution like this. (3) A realistic implementation timeline and set of requirementsLighthouse Ushers the Bank Through Technical and Industry MilestonesWe spent six months designing and testing an M365-based solution to support recording keeping and e-discovery requirements for Teams and Exchange (including those that could support the massive scalability requirements). The results of these initial tests identified several gaps that Microsoft committed to close. The six month marked a huge milestone for the financial services industry, as the Bank disclosed to regulators their intent to use M365 as system of record. This showed extreme confidence in Lighthouse’s roadmap for the Bank, since a disclosure of this nature is an official notice and cannot be walked back easily. Over the next few months, we continued to design and test, partnering with Microsoft to create a sandbox environment where new M365 features were deployed to the Bank prior to general availability, to ensure we were able to validate adequate performance. During this time, Microsoft made a series of significant updates to extend functionality and close performance gaps to meet the Bank’s requirements. Finally, in February 2021, all the Bank’s requirements had been met and they went live with Teams—the first of their M365 workload deployments. That configuration of M365 met only some of the Bank’s need, however, so Lighthouse had to enable additional orchestration and automation on top. As it happens, we had recently done this for another company, creating a proof of concept for a reusable automation framework designed to scale eDiscovery and compliance operations within M365. Building on this work, we were able to quickly launch development of a custom automation solution for the Bank. This project is currently underway and is slated to complete in June, coinciding with their deployment of Exchange Online.Lighthouse Enables Adoption of Teams and Exchange and Scales M365 Compliance FunctionalityCompliant storage of M365 communications using native tools, rather than a third-party archive. Scaled and efficient use of M365 eDiscovery, including automation to handle preservation and collection tasks rather than manual processes or simple PowerShell scripts.Improved update monitoring, replacing an IT- and message-center-driven process with a cross-functional governance framework based on our CloudCompass M365 update monitoring and impact assessment for legal and compliance teams.Framework for compliant onboarding of new M365 communication sources like Yammer. Framework for compliant implementation of M365 in new jurisdictions, including restricted country solutions for Switzerland and Monaco. Framework to begin expanding to related use cases within M365, such as compliance and insider risk management. Lighthouse Paves the Way for Broader M365 Adoption Across the Financial Services IndustryFollowing the success of this project, we have been engaged by a dozen other large financial institutions interested in pursuing a similar roadmap. The roadblocks we removed for the Bank are shared across the sector, so the project was carefully watched. With the Bank’s goals confidently achieved and even surpassed, its peers are ready to begin their own journey to sunset their archives and embrace the opportunities of native legal and compliance tools in M365.

Firms Needed Fast Analysis of 25M Documents More than a dozen international law firms—including a Joint Defense Group (JDG) of 11 firms and several firms representing defendants outside the JDG—were engaged in a complex cluster of cases spanning over 30 US jurisdictions. The total document tranche included over 25M documents. The firms needed to find and understand the key players, timelines, and nuances involved in each litigation, while also preparing for hundreds of depositions, witness interviews, hearings, and trials scheduled across the litigation universe. However, traditional approaches to fact-finding and litigation (i.e., document review, keyword searches, etc.) were drowning case teams in extraneous and duplicative information. They came to Lighthouse looking for a strategic, unified approach to fact-finding, led by experts who could deliver the key documents, information, and details the case teams needed—and nothing more. Custom Workflows Power Consistency, Speed, and Efficiency Our experts started by creating a topic map across matters, which helped them quickly provide case teams with the core themes in each jurisdiction while reducing redundant search work. From there, as case strategy for each matter developed, the Lighthouse team drilled down into more nuanced fact-finding to help surface the documents case teams needed to learn the key details of each matter, through strategies like: State/Jurisdictional Overview Workflow – We used advanced search technology to target key documents in incoming productions and categorize them by jurisdiction, providing case teams with an immediate thematic overview of key facts and timelines. Re-Deployable Linguistic Model Workflow – Lighthouse linguists developed models based on intimate knowledge of the language used within the datasets, then deployed them within proprietary search technology to sort documents into tiers based on the likelihood that they contained key information. Deposition Kit Bundle Workflow – By bundling deposition kit requests from the same jurisdictions and departments together, we could search across smaller collections of documents and take a deponent-agnostic approach. Previously Delivered Name Hit Workflow – We provided case teams with documents from previously delivered results, giving them an advanced start on deposition preparation while further reducing duplicative searching. These repeatable workflows significantly reduced the volume of searching and coordination required across matters and enabled Lighthouse experts to quickly zero-in on the exact documents needed—without wasting counsels’ time with redundant and unimportant documents. Critical Docs Found and Delivered Across Dozens of Matters and Hundreds of Kits Over the course of two years, Lighthouse experts prepared dozens of case teams for complex litigation and handled a deluge of competing deadlines, priorities, and ad hoc requests (totaling as many as 70 requests at a time). For the Joint Defense Group, this meant: Over 1,150 deposition kits across 24 matters, encompassing 245K unique documents Over 100 state overviews across 21 different jurisdictions, encompassing 80K documents For law firms representing individual defendants, Lighthouse provided an additional:150 deposition kits, encompassing 13K documents 30 defensive overviews across 20 jurisdictions, encompassing 6K documents 1.3K documents in response to ad hoc requests and trial support Each delivery was limited to essential information—including key themes and players in every jurisdiction, potential gaps in productions, lists of hot/sensitive documents and potential deponents, and key strategy documents—and avoided redundant and unimportant documents. The combination of innovative workflows and cutting-edge technology enabled Lighthouse to keep our team small and consistent throughout the engagement, so the entire effort was achieved by a handful of Lighthouse experts with institutional knowledge of every matter. Since this engagement, we have used the same workflows for other clients facing complex Multidistrict Litigation (MDL)—making Lighthouse key document identification one of the most valuable and scalable litigation technology solutions on the market today.

Searching for Evidence in 8TB of Chat and Technical Data Senior executives at an information technology company suspected that former employees had utilized company resources and intellectual property when starting a rival company. To determine whether litigation was called for, executives needed to find the most relevant documents within 8TB of processed data. The data was extremely complex, dating back 6+ years and consisting mostly of Slack data and attachments including highly technical documents, applications, logs, and related system files—tallying over ten million files. The company engaged a senior partner at an AM50 law firm, who recommended using keyword search terms, filters, and targeted linear review to find the “smoking gun” documents—which was estimated to take several months. The company came to Lighthouse looking for a faster, more strategic search alternative for their investigation. Pinpointing Key Docs with Linguistic Analysis Two Lighthouse search and linguistics experts met with company executives to learn exactly what information they suspected the former employees had misappropriated. From there, our experts created linguistic-based search criteria that go well beyond keywords, taking into consideration the unique vocabulary and syntax of software engineers and developers, the conversational quirks of Slack and other chat-based communications, and the coded language used by people who are trying to get away with something. The team delivered documents in 2 batches, refining their search based on input from the executives—and resulting in only 39 files for the company to review. Getting Results—and a Start on Case Strategy—in Days In less than 10 days, 2 Lighthouse experts pierced the subterfuge in the employees’ chat messages to reveal patterns in their behavior and attempts to cover their tracks. In all, we found 39 documents representing possibly questionable conduct, which required only 141 hours of eyes-on review. In comparison, using conventional analytics would have identified 5-20% of the search population as key documents—up to 50K documents to review in this matter. So in the end, Lighthouse saved the company over 3 months and nearly $200K.Armed with knowledge of the key events, timelines, and context of conversations buried within the data, the company was primed to begin litigation efforts and had a team ramped up to perform additional searches when needed.Lighthouse KDI vs Linear Review