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...
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...
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...
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...
