Latest Dodd-Frank Posts
Hedge Fund COO Makes Admissions in SEC Settlement
Investment Advisers, Litigation The SEC announced that the former Chief Operating Officer at Harbinger Capital Partners LLC has agreed to settle allegations that he assisted a scheme by the firm and its owner to misappropriate millions of dollars from a hedge fund they managed to pay the owner’s personal taxes. Court approval of the settlement is pending. In […] Read more →
CFPB Proposes Amendments to Home Mortgage Disclosure Act
Banking, Consumer Protection The CFPB has proposed a rule to improve information reported about the residential mortgage market. According to the CFPB, the rule would shed more light on consumers’ access to... Read more →
8th Circuit to Determine Scope of Dodd-Frank Whistleblower Claim
Employment, Litigation, Public Companies and Securities The United States District Court for the District of Nebraska has certified a question for interlocutory appeal to the Eighth Circuit in the case of Bussing v. COR Clearing, LLC... Read more →
Examples of Social Media in M&A Transactions
Public Companies and Securities In April 2014, the SEC provided guidance on the use of social media in M&A and other contexts. Companies have begun to cautiously make use of the guidance but the flood gates... Read more →