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 »

Dodd-Frank Employment

2nd Circuit Upholds SEC’s Denial of Whistleblower Award

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Employment, Litigation, Public Companies and Securities Larry Stryker petitioned the Second Circuit for review of an order of the SEC that denied his claim for a whistleblower award. He sought the award under Section 21F of the Dodd-Frank Act  based on information he supplied to the SEC that it relied upon in a successful enforcement action. The SEC held that, because […] Read more →

by   |   March 15, 2015

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Say-On-Pay Vote Did Not Create Disclosure Obligation

Employment, Executive Compensation, Litigation, Public Companies and Securities In Liang v. Berger, the plaintiff in a derivative action alleged the officers and directors of ARAID Pharmaceuticals failed to disclose material negative information about a drug... Read more →

by   |   March 10, 2015

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Three Dodd-Frank Whistleblower Anti-Retaliation Claims Fail

Employment, Litigation, Public Companies and Securities Courts recently issued three opinions on the whistleblower anti-retaliation provisions of the Dodd-Frank Act. In Murray v. UBS Securities, LLC, Mr. Murray claimed he was... Read more →

by   |   March 3, 2015

SDNY Says Whistleblowers Must Report to the SEC

Employment, Public Companies and Securities, Uncategorized In Berman v. Neo@ogilvy LLC, the Unites States District Court for the Southern District of New York held an employee must report information to the SEC in order to qualify for the... Read more →

by   |   December 29, 2014