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 »

Dodd-Frank Employment

SEC Publishes 2015 Whistleblower Report


Employment, Litigation, Public Companies and Securities, Uncategorized The SEC published its 2015 Annual Report on the Dodd-Frank Whistleblower Program.  The report indicates the SEC received 3,923 tips in fiscal year 2015, compared to 3,620 tips in fiscal year 2014.  From fiscal year 2012, the first year for which the SEC has full-year data, to fiscal year 2015, the number of whistleblower tips […] Read more →

by   |   November 22, 2015


SEC Says there are (Almost) No Excuses for Late Whistleblowers

Broker-Dealer, Employment, Investment Advisers, Litigation, Public Companies and Securities The SEC announced a whistleblower award totaling more than $325,000 for a former investment firm employee who tipped the agency with specific information that enabled enforcement... Read more →

by   |   November 4, 2015


CFTC Makes Second Whistleblower Award

Employment, Uncategorized The U.S. Commodity Futures Trading Commission, or CFTC, announced that it will make an award of approximately $290,000 to a whistleblower for providing valuable information about... Read more →

by   |   October 4, 2015


Court Says There is no Private Cause of Action to Create an SEC Whistleblower Award

Employment, Litigation, Public Companies and Securities AgFeed Industries, Inc.’s accounting irregularities culminated in a March 2014 enforcement action brought against AgFeed by the SEC.  The enforcement action yielded an $18... Read more →

by   |   September 29, 2015