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Recent result: KYL Obtains Another “Zero” Award on Behalf of a Broker-Dealer Client

by commune | Mar 31, 2018 | Other News, Securities

KYL recently “zeroed” a former financial consultant’s claim for constructive wrongful termination and retaliation in a FINRA arbitration, and delivered a win for Edward Jones & Co., LLC.   The former employee, a financial consultant, claimed that Edward Jones...
Securities Alert: Privacy And Data Protection Claims In Arbitration

Securities Alert: Privacy And Data Protection Claims In Arbitration

by Stacey Garrett | Mar 26, 2018 | Other News, Privacy & Data Security, Securities

Privacy and cybersecurity continue to be hot topics for financial services firms in 2018.  Securities broker-dealers are already seeing investor claims alleging breach of privacy and loss of data protection rights.  Traditionally, securities broker-dealers have...
Securities Alert: New FINRA Rules Create Protocols for Handling Suspected Financial Exploitation of Customers

Securities Alert: New FINRA Rules Create Protocols for Handling Suspected Financial Exploitation of Customers

by commune | Feb 5, 2018 | Other News, Securities

As the average age of Americans increases, regulators and legislators continue to focus on laws designed to protect senior investors.  Two recent changes to revised FINRA Rule 4512 and new Rule 2165 give member firms tools to protect seniors and other vulnerable...
Securities Alert:  It Will Soon Be More Difficult to Obtain Expungements

Securities Alert: It Will Soon Be More Difficult to Obtain Expungements

by commune | Jan 2, 2018 | Other News, Securities

FINRA is in the process of making substantial changes to the process by which a registered representative can obtain an expungement of customer dispute information from the Central Registration Depository (CRD) system.  FINRA has issued Regulatory Notice 17-42...
Securities Alert:  It Will Soon Be More Difficult to Obtain Expungements

Securities Alert: FINRA Adopts New Rules to Combat Financial Exploitation

by commune | Apr 2, 2017 | Other News, Securities

SEC Approves FINRA Rules to Assist Member Firm’s in Combatting the Financial Exploitation of Senior and Other Specified Adults On March 30, 2017, the SEC approved FINRA Rule 2165 (Financial Exploitation of Specified Adults) which permits FINRA Member Firms to place...

KYL Securities Alert: Marc J. Gabelli and Bruce Alpert v. Securities and Exchange Commission

by commune | Mar 1, 2013 | Other News, Securities

Marc J. Gabelli and Bruce Alpert v. Securities and Exchange Commission, 568 U.S. __ (2013), February 27, 2013 Unanimous Supreme Court Limits SEC Ability To Seek Civil Penalties On February 27, 2013, a unanimous Supreme Court held that the Securities and Exchange...
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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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News & Alerts

Skip Keesal Named to Lawdragon’s Hall of Fame Class of 2021

Congratulations to our own Skip Keesal on being named to Lawdragon's Hall of Fame Class of 2021!  This is Skip's 11th year in a row as a Lawdragon. Read full article here.

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 First Year Attorneys Pass the California State Bar

We are pleased to announce that our newest associates, Christopher Cammiso, Saied Quadri, and John Mysliwiec, learned Friday that they passed the California State Bar.  We are excited to be a part of their legal careers and witness their professional development in...

KYL Shareholder Chris Stecher Elected Vice President of the Federal Bar Association

KYL congratulates San Francisco Shareholder Chris Stecher, who has been elected Vice President of the Federal Bar Association, Northern District of California Chapter.  The 2021 elected Officers include: President:  Anne Voigts President-Elect:  Monique Olivier...

Client Service Awards Honor 474 Lawyers — But Just One CIO

By Bob Ambrogi on December 21, 2020 For the 19th year, BTI Consulting Group has announced its honorees as BTI Client Service All-Stars for 2020, 475 law firm professionals chosen by corporate clients to be recognized for their commitment to superior client service. Of...

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