Jonah A. Toleno

Of Counsel

Location:
San Diego, California
Phone:
(619) 696-9500 (Ext. 104)
Direct:
(619) 501-6483
Fax:
(800) 868-9350

Areas of Practice

  • Securities Litigation and Arbitration
  • Financial Services Law
  • Financial Services Employment Disputes
  • SEC Investigation and Enforcement Representation
  • FINRA Investigation Representation
  • California Department of Business Oversight Investigation and Employment Representation
  • Outside Counsel to Investment Advisory Firms
  • Trade Secret Litigation
  • Business Law
  • Civil Litigation
  • Alternative Dispute Resolution
  • Contract Disputes
  • Broker Protocol Advising and Litigation

Recent Articles by Jonah A. Toleno

Proposed Updates to FINRA Expungement Rules
Posted in Financial Industry Developments
As part of its mission to protect investors, the Financial Industry Regulatory Authority (FINRA) gathers and discloses certain information about registered financial advisors and brokerage firms registered with FINRA, including financial advisors and broker dealers. FINRA houses this information in various databases, including but not limited its Central Registration Depository (CRD) and its publicly viewable registration information portal, BrokerCheck.
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FINRA Withdraws Its Proposed Expungement Rule Changes
Posted in Securities Regulation & Compliance
FINRA proposed a change to its expungement rules in the Fall of 2020, seeking to alter certain aspects of the expungement process, including substantially shortening the time limit for a registered representative to seek expungement of customer-related disclosures and allowing expungement to be granted only by a three-person panel (previously a single arbitrator could order expungement). [...]
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House Judiciary Committee Antitrust Panel to Target Big Tech Companies
Posted in Investment Advisers & Private Funds
It was reported over the weekend that David Cicilline (D), the House Judiciary Committee’s Antitrust Panel’s Chairman, plans to propose at least ten (10) legislation pieces targeting Big Tech companies [...]
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