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 »

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

private equity

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 company in the other’s portfolio in a manner that improperly benefited one fund over the other. The private equity sponsor did not admit or deny […] Read more →

by   |   September 22, 2014


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


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


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