KYL Obtains Defense Award on $1 million Securities Claim

KYL successfully obtained a defense award from a FINRA arbitration panel on behalf of a major brokerage firm on a claim for approximately $1 million brought by a customer who alleged that her account underperformed the market, that the firm was responsible for a large...

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KYL Obtains Defense Award on $1 million Securities Claim

KYL successfully obtained a defense award from a FINRA arbitration panel on behalf of a major brokerage firm on a claim for approximately $1 million brought by a customer who alleged that her account underperformed the market, that the firm was responsible...

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Lawdragon Lawyer Limelight: John Giffin

The following interview was reprinted with permission from Lawdragon.com. The “Law of the Sea” as a concept generally only comes across our bow when it has to do with international boundaries, fishing and mineral rights, and, well, maybe on International Talk like a...

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Securities Alert: Two New Rules Take Effect Immediately

Two significant new rules affecting securities firms take effect immediately.  First, as of Friday May 11, 2018, FinCEN’s Customer Due Diligence Requirements for Financial Institutions (“CDD Rule”) requires FINRA members to identify and verify the beneficial owners of...

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KYL News Archive

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