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 Esther Cho | Aug 10, 2020 | General Articles, Homepage News, Securities
The first half of 2020 has been a very challenging time for the capital markets. With a global pandemic arising � the likes of which have not been seen in more than 100 years � U.S. economic activity has largely collapsed, and unemployment has risen to levels not seen...
by Marjorie Hall | Jan 2, 2020 | Homepage News, Securities
In a recent FINRA Arbitration, KYL obtained a complete defense award related to an investor’s accounts with a major financial services client. The claimant had brought claims for fraud, negligent misrepresentation, churning, breach of fiduciary duty, negligent...
by Marjorie Hall | Dec 6, 2019 | Homepage News, Securities
In a recent FINRA Arbitration, KYL obtained a complete defense award related to an investor’s accounts with a major financial services client. The claimant had brought claims for breach of fiduciary duty, negligent supervision, elder abuse and violation of the...
by Marjorie Hall | Aug 26, 2019 | Homepage News, Securities
On behalf of a broker-dealer, bank, Chief Compliance Officer and Financial Advisor, KYL attorneys Ryan Lean and Bryce Cullinane recently obtained the prehearing dismissal of a $113 million FINRA arbitration claim in its entirety, with prejudice. The claimants, a real...
by Marjorie Hall | Jul 3, 2019 | Homepage News, Securities
The plaintiffs, private individuals suing on behalf of the State of California, alleged that multiple municipal bond underwriters defrauded the state by falsely representing that they would underwrite the state’s bonds and obtain the “best price” and “lowest yield” on...
