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2022 Capital Markets Litigation and Regulatory Outlook CLE Webinar

2022 Capital Markets Litigation and Regulatory Outlook CLE Webinar

by Esther Cho | Feb 8, 2022 | General Articles, Homepage News, Other News, Securities Alerts

2022 Capital Markets Litigation and Regulatory Outlook CLE Webinar Back by popular demand! Jack McGuire, Esther Cho and Greg Kyle reunite for a new CLE Webinar to provide a capital markets update and discuss related litigation, regulatory and enforcement areas to keep...
Beware of Phishing Email from “FINRA-ONLINE.COM” Domain

Beware of Phishing Email from “FINRA-ONLINE.COM” Domain

by Stacey Garrett | Mar 16, 2021 | Homepage News, Privacy & Data Security, Securities, Securities Alerts

All member firms should be aware of an ongoing phishing campaign that involves fraudulent emails purporting to be from “FINRA Membership” and using the email address “supports@finra-online.com.” The email asks recipients to respond to an issue of “regulatory...
Securities Alert:  FINRA Seeks to Add New Procedural Barriers to Expungement Proceedings

Securities Alert: FINRA Seeks to Add New Procedural Barriers to Expungement Proceedings

by Connor Trafton | Oct 12, 2020 | Homepage News, Securities Alerts

FINRA recently submitted to the SEC proposed changes to its expungement rules that would significantly limit a broker’s ability to remove disclosures from their Central Registration Depository (CRD) record. These changes, contained in a 557-page document filed on...
Securities Alert: U.S. Supreme Court Clarifies “Actual Knowledge” in ERISA Statute of Limitations Decision

Securities Alert: U.S. Supreme Court Clarifies “Actual Knowledge” in ERISA Statute of Limitations Decision

by Ryan Lean | Feb 27, 2020 | Homepage News, Securities Alerts

On February 26, 2020, the United States Supreme Court issued a unanimous opinion holding that, for purposes of ERISA’s three-year statute of limitations for fiduciary breach claims, participants in a retirement plan have “actual knowledge” of information only if they...

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This information has been prepared by Keesal, Young & Logan for informational purposes only and is not legal advice. Transmission of the information is not intended to create, and receipt does not constitute, an attorney-client relationship between you and Keesal, Young & Logan.

You should not act upon this information without seeking professional counsel.

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News & Alerts

Broadened Interpretation of Whistleblowing Statute in California

Overview On May 22, 2023, the California Supreme Court unanimously found that an employee’s report of workplace wrongdoings is a protected “disclosure” within the meaning of Labor Code section 1102.5(b) even if the employer already knew about the violation before the...

Keesal, Young & Logan Secures Dismissal of Three Northstar Investor Cases Under FINRA’s Eligibility Rule

Representing two separate securities broker-dealers, Neal Robb and Bryce Cullinane of Keesal, Young & Logan have been defending claims brought by public investors stemming from their investments in products issued by Northstar Financial Services (Bermuda) Ltd...

Lawdragon’s Inaugural 500 Leading Litigators in America

Congratulations to all our lawyers named to Lawdragon’s inaugural 500 Leading Litigators in America! Lawdragon states “We are enormously proud of the more than 100 law firms represented here, many of which boast NFL-size squads of courtroom talent. We selected members...

California AG Blackens Eye of Retail Beauty Giant for Alleged CCPA Violations

In his first enforcement action under the California Consumer Privacy Act (“CCPA”), California Attorney General Rob Bonta announced a stipulated final judgment with Sephora USA, Inc., a multinational personal care and beauty company, that requires Sephora to pay $1.2...

KYL Achieved Mansfield Rule Certification Plus in Inaugural Midsize Certification Cohort!

Keesal, Young & Logan is incredibly proud to announce that we have achieved Mansfield Rule Certification Plus in Diversity Lab’s inaugural Midsize Certification Cohort! The overall goal of the Midsize Mansfield Rule is to increase diversity in leadership pipelines...

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