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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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Steve Quinlivan

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Posts from Steve Quinlivan

SEC Brings Second Whistleblower Retaliation Case

whistleblower

Employment, Litigation, Public Companies and Securities The SEC has brought its second case for retaliation against a whistleblower against International Game Technology. According to the SEC, the whistleblower, a director of an IGT division, started working at IGT in 2008 and received positive performance evaluations throughout his tenure, including his mid-year review in 2014. Shortly after his favorable 2014 mid-year review, […] Read more →

by   |   September 29, 2016

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SEC Enforcement Actions for Failure to Report Sales of Unregistered Securities

Litigation, Public Companies and Securities On two successive days, the SEC brought settled enforcement actions against issuers for failure to report sales of unregistered securities. Under Item 1.01 of Form 8-K, a... Read more →

by   |   September 27, 2016

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SEC Sends Another Message on Section 16 Filings

Litigation, Public Companies and Securities In connection with a partial settlement of alleged fraudulent activities, the SEC charged three directors of a company associated with the fraud, but who did not participate in... Read more →

by   |   September 25, 2016

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OSHA Addresses Sarbanes-Oxley Whistleblower Releases

Employment, Litigation, Public Companies and Securities We have written about SEC enforcement actions related to severance and confidentiality agreements that restrict reporting matters to the SEC. OSHA has also issued guidance... Read more →

by   |   September 24, 2016