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...
by Marjorie Hall | Jul 3, 2019 | Homepage News, Securities
On behalf of a major financial institution, KYL attorneys Peter Boutin, Neal Robb and Chris Stecher prevailed on a Petition to Vacate a sizable Arbitration Award rendered by a FINRA Panel in 2017. After the case was arbitrated and the Award was issued, KYL was engaged...
by Justin Hectus | Mar 1, 2019 | Cyber Risk Management, Homepage News, Securities
Third-party service providers (“vendors”) with lax security controls can pose a significant threat to a financial institution’s security, and that same risk can even cascade to the institution from their vendor’s vendor. Understanding and controlling those risks is...
by Justin Hectus | Dec 18, 2018 | Homepage News, Securities
In a recent AAA Arbitration, KYL obtained a complete defense award related to a former mortgage specialist’s claims for disability discrimination, failure to accommodate, failure to engage in the interactive process, retaliation, and wrongful termination. The former...
by Justin Hectus | Nov 16, 2018 | Securities
Keesal, Young & Logan attorneys Peter Boutin and Chris Stecher, in collaboration with Texas counsel, recently obtained the dismissal of a Securities Act of 1933 class action pending in Texas state court. The dismissal is one of the first dismissals of a ’33 Act...
