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 »


Robert Fallon

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Posts from Robert Fallon

Spoofing Back in the News — First Criminal Indictment for Spoofing; CFTC Settlement Lays Out Telltale Signs of Spoofing


Broker-Dealer, Energy Last week the government handed down its first criminal indictment for allegedly engaging in “spoofing” and the Commodity Futures Trading Commission settled with Eric Moncada for spoofing. Spoofing is a form of trading in which traders place orders in the form of “bids” to buy or “offers” to sell a futures contract with no intent to […] Read more →

by   |   October 13, 2014

Sun Illustration 300dpi

Due Process Requires US Committee on Foreign Investment to Let the Sunshine In

Energy On July 15 the United States Court of Appeals for the District of Columbia Circuit told CFIUS (the Committee on Foreign Investment in the United States) that constitutional due... Read more →

by   |   July 16, 2014

financial statements

Auditors of Futures Commission Merchants: Know the Audit Rules or You Will Be Fined

Energy A recent $100,000 settlement between the Commodity Futures Trading Commission (CFTC) and an accounting firm highlights — for accounting firms auditing Futures Commission... Read more →

by   |   May 6, 2014


CFTC Opens Broad Inquiry into Swap Data Recordkeeping and Reporting

Energy Following up on its January 21, 2014, formation of an interdivisional staff working group (Working Group) to review its swap data reporting and other provisions of Part 45 of its... Read more →

by   |   March 26, 2014