by Margaret Chow | Dec 1, 2023 | Homepage News, Privacy & Data Security, Privacy & Data Security Alerts, Securities, Securities Alerts
As we draw near the close of 2023, we write to highlight some significant data privacy and protection developments from the past year. The landscape of digital rights and data privacy has experienced unprecedented changes, which not only reflect the rapid pace of...
by Margaret Chow | Oct 12, 2023 | Employment Alerts, Homepage News, Securities, Securities Alerts
On October 10, 2023, Governor Newsom signed Senate Bill 365 (“SB 365”) into law. Effective January 1, 2024, SB 365 provides that an appeal from an order dismissing or denying a petition to compel arbitration shall not automatically stay proceedings in the trial court...
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...
