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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 Charges Investment Adviser for Misleading Performance Advertising

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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 charges. Among other things, the SEC claimed advertisements which did not disclose that the portrayed results did not deduct fees and thus materially overstated investment performance […] Read more →

by   |   September 18, 2014

whistleblower

Whistleblowers Fight Over SEC Award

Employment, Litigation, Public Companies and Securities, Uncategorized It was predictable someone would submit a phony whistleblower claim, and I suppose it was predictable there would be a fight over an actual award, like co-workers diving for a... Read more →

by   |   September 4, 2014

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FASB Revises Going Concern Evaluations and Disclosure

Public Companies and Securities, Uncategorized Generally accepted accounting principles, or GAAP, presumes continuation of a reporting entity as a going concern as the basis for preparing financial statements unless and until... Read more →

by   |   August 28, 2014

msrb

SEC to Commence Examinations of Municipal Advisors

Municipal Advisors, Uncategorized The SEC announced that its Office of Compliance Inspections and Examinations, or OCIE, is launching an examination initiative directed at newly regulated municipal advisors. It... Read more →

by   |   August 20, 2014