Latest Dodd-Frank Posts
Three Dodd-Frank Whistleblower Anti-Retaliation Claims Fail
Employment, Litigation, Public Companies and Securities Courts recently issued three opinions on the whistleblower anti-retaliation provisions of the Dodd-Frank Act. In Murray v. UBS Securities, LLC, Mr. Murray claimed he was terminated because he refused to skew his research on commercial mortgage backed securities, or CMBS. Mr. Murray brought an anti-retaliation claim under the Consumer Financial Protection Act, which is Title […] Read more →
MSRB Moves Foward Professional Qualification Standards For Municipal Advisors
Municipal Advisors, Uncategorized The Municipal Securities Rulemaking Board, or MSRB, has received approval from the SEC to create baseline standards of professional qualification for municipal advisors. The new... Read more →
Exercising Drag-Along Rights After Merger Did Not Waive Appraisal Rights
M&A, Private Equity In Halpin et al v. Riverstone National, Inc., the Delaware Court of Chancery found that invoking drag-along rights against minority stockholders after a merger did not waive... Read more →
SEC Identifies Enforcement Priorities for Hedge Funds and Private Equity Funds
Investment Advisers, Private Equity Julie M. Riewe, Co-Chief, Asset Management Unit, SEC Division of Enforcement identified enforcement priorities for hedge funds and private equity funds. For private funds —... Read more →