by commune | Apr 16, 2018 | Other News, Securities
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) recently published a Risk Alert highlighting common errors advisers make regarding the fees and expenses charged to clients. According to the OCIE, these errors may be violations under the...
by commune | Apr 15, 2018 | KYL Charity News, Other News
Keesal, Young & Logan (KYL) is proud to once again partner with NAACP Long Beach Branch to present the 18th annual Law Day. KYL has sponsored the event since 2001. Law Day was created in the late 1950s by the American Bar Association to draw attention to both...
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...
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...
by commune | Mar 11, 2018 | Other News
Keesal, Young & Logan shareholders Terry Ross, Stacey Garrett and associate Ashley Impellitteri obtained an order dismissing a $12 million FINRA claim because it was ineligible for arbitration. After an all-day hearing, the San Diego-based arbitrators determined...
by commune | Feb 21, 2018 | Employment Alerts, Other News
Today, the United States Supreme Court held in Digital Realty Trust Inc. v. Paul Somers that the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) provides “whistleblower” protection only to those employees who report misconduct to the...
