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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.

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California Supreme Court Goes Retro: Dynamex Applies Retroactively to Independent Contractor Misclassification Claims

In April 2018, the California Supreme Court issued a ground-breaking decision related to the test for analyzing whether a worker is properly classified as an employee or independent contractor. In adopting the “ABC Test” in Dynamex Operations West v. Superior Court,...

KYL’s Esther Cho Weighs in on the Power of Firm Culture

KYL Executive Committee Chair Esther Cho sat down with Elevate Services CEO Liam Brown to discuss law firm leadership, culture, diversity, and her personal story. Listen (and read the transcript) here.

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