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 »

Shareholder Lawsuit About Compensation Plan Derails Annual Meeting

Executive Compensation, Litigation, Public Companies and Securities, Uncategorized An SEC registrant recently announced it had delayed its annual meeting from June 12, 2014 to September 11, 2014 because of this lawsuit. What’s the lawsuit about? Plaintiffs claim the company, a Delaware corporation, did not count abstentions as “no” votes when the most recent increase in the share reserve was put to the shareholders […] Read more →

by Jill Radloff   |   June 6, 2014

private equity

SEC Discusses Troubling Private Equity Practices

Investment Advisers, Private Equity, Uncategorized Andrew J. Bowden, Director, SEC Office of Compliance Inspections and Examinations, gave a talk where he discussed troubling practices identified in examinations of private equity... Read more →

by Jill Radloff   |   May 10, 2014

accountant2

SEC Reminds Investment Advisers to Review Compliance Policies Annually

Investment Advisers, Uncategorized Norm Champ, Director, SEC Division of Investment Management, recently gave a speech where he reminded investment advisers to review compliance policies annually as required by SEC... Read more →

by Jill Radloff   |   May 4, 2014

whistleblower

Dodd-Frank Whistleblower Claims Subject to Arbitration, Key Distinctions Between Dodd-Frank and Sarbanes-Oxley Whistleblower Protections

Employment, Litigation, Public Companies and Securities, Uncategorized The below article by Sean Colligan was featured in the April issue of Stinson Leonard Street’s Business Torts Update, which focuses on recent developments affecting... Read more →

by Jill Radloff   |   April 30, 2014