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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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