In the interest of transparency, Vindica provides this disclosure about the artificial intelligence systems that power our platform.

How AI Is Used in Vindica

Vindica uses artificial intelligence in two ways:

• Real-time field analysis — as you complete the interview, AI provides immediate feedback on how specific facts may help or hurt your defense, which claims they affect, and what follow-up actions to take.
• Document generation — when you complete the interview and click "Generate," AI synthesizes all of your inputs into a structured defense preparation document.

The AI Provider

Vindica's AI capabilities are powered by a commercial large language model API operating under commercial terms. The AI has been configured specifically for FINRA arbitration defense context, including knowledge of suitability standards, Regulation Best Interest, concentration analysis methodology, and FINRA arbitration process.

What the AI Does Not Know

The AI does not have access to FINRA's internal databases or case records, your firm's compliance records unless you enter them, real-time legal developments or recent arbitration decisions, your client's account records or transaction history unless you enter them, or any information beyond what you enter into the interview.

AI Limitations

Artificial intelligence systems have known limitations:

• AI can generate plausible-sounding but factually incorrect statements ("hallucinations")
• AI analysis is only as good as the information provided — incomplete inputs produce incomplete outputs
• AI does not understand context the way an experienced attorney does
• AI cannot evaluate credibility, witness demeanor, or other non-textual factors
• AI output reflects patterns in training data and may not account for jurisdiction-specific nuances

AI Use and Attorney-Client Privilege — Heppner Notice

In United States v. Heppner (S.D.N.Y. Feb. 17, 2026), a federal court held that use of a publicly available AI platform does not carry attorney-client privilege protection. Accordingly:

• Do not enter attorney-client privileged communications into Vindica
• Do not enter legal strategy or advice received from your attorney into Vindica
• Use Vindica to organize your own contemporaneous records — not to process attorney communications
• Use Vindica under your attorney's supervision as part of the attorney-client relationship

Vindica's intended use — organizing your own records, emails, notes, and timeline under attorney supervision — is consistent with privilege-preserving AI practices.

Data and AI

For information on how your data is handled in connection with AI processing, please review our Privacy Policy, specifically Section 3. Your inputs are processed under a commercial API agreement and are not used to train AI models.

Contact

Questions about our AI systems? Contact us at: info@vindicafile.com