Stinson Leonard Street Dodd Frank

MAKING SENSE OF 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 »

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Jill Radloff

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612.335.7119

jill.radloff@stinsonleonard.com

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Posts from Jill Radloff

SEC Describes Profiles of Successful Whistleblowers

whistleblower

Employment, Litigation, Public Companies and Securities, Uncategorized In its 2014 Report to Congress on the Dodd-Frank Whistleblower Program, the SEC described the profile of successful whistleblowers. Because the SEC must keep the identity of whistleblowers confidential, it can only describe certain commonalities which included: The information provided by each award recipient was specific, in that the whistleblower identified particular individuals involved in […] Read more →

by   |   November 18, 2014

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GAO Says CFPB Needs to Improve Data Privacy and Security

Banking, Consumer Protection, Uncategorized To fulfill its statutory responsibilities, the CFPB collects large amounts of consumer financial data on credit card accounts, mortgage loans, and other products through one-time... Read more →

by   |   September 25, 2014

private equity

SEC Charges Private Equity Sponsor for Misallocation of Expenses on Integrated Portfolio Companies

Investment Advisers, Private Equity, Uncategorized The SEC charged a private equity sponsor with breaching its fiduciary duty to a pair of private equity funds by sharing expenses between a company in one’s portfolio and a... Read more →

by   |   September 22, 2014

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SEC Charges Investment Adviser for Misleading Performance Advertising

Investment Advisers, Uncategorized In a settled action, the SEC charged an investment adviser for false advertising and its chief compliance officer on related matters. The defendants did not admit or deny the... Read more →

by   |   September 18, 2014