Stinson Leonard Street Dodd Frank


The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Latest Dodd-Frank Posts

SEC Enforcement Actions for Failure to Report Sales of Unregistered Securities


Litigation, Public Companies and Securities On two successive days, the SEC brought settled enforcement actions against issuers for failure to report sales of unregistered securities. Under Item 1.01 of Form 8-K, a registrant must disclose its entry into a material definitive agreement, not made in the ordinary course of business of the registrant, that provides for obligations that are material […] Read more →

by   |   September 27, 2016


SEC Sends Another Message on Section 16 Filings

Litigation, Public Companies and Securities In connection with a partial settlement of alleged fraudulent activities, the SEC charged three directors of a company associated with the fraud, but who did not participate in... Read more →

by   |   September 25, 2016

Quinlivan_Stephen_M4x5 2014 bio photo

OSHA Addresses Sarbanes-Oxley Whistleblower Releases

Employment, Litigation, Public Companies and Securities We have written about SEC enforcement actions related to severance and confidentiality agreements that restrict reporting matters to the SEC. OSHA has also issued guidance... Read more →

by   |   September 24, 2016

Scale and Gavel

SDNY Awards Front Pay in Sarbanes-Oxley Whistleblower Retaliation Case

Employment, Litigation, Public Companies and Securities Perez v. Progenics Pharmaceuticals, Inc., involved a case where Plaintiff Perez drafted a memo to Progenics’ general counsel and his department head, accusing Progenics of... Read more →

by   |   September 21, 2016