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

SEC Describes Profiles of Successful Whistleblowers

whistleblower

Employment, Litigation, Public Companies and Securities, Uncategorized In its 2014 Report to Congress on the Dodd-Frank Whistleblower Program, the SEC described the profile of successful whistleblowers. Because the SEC must keep the identity of whistleblowers confidential, it can only describe certain commonalities which included: The information provided by each award recipient was specific, in that the whistleblower identified particular individuals involved in […] Read more →

by   |   November 18, 2014

CFPB logo

CFPB Finds Violation of Loan Originator Compensation Rule

Banking, Consumer Protection, Employment, Litigation The CFPB and Franklin Loan Corporation have asked a federal court to approve a consent order regarding alleged violations by Franklin Loan of the loan originator compensation... Read more →

by   |   November 15, 2014

whistleblower

Revealing Whistleblower’s Identity is Retaliation

Employment, Litigation, Public Companies and Securities The United States Court of Appeals for the Fifth Circuit held that revealing a whistleblower’s identity is prohibited retaliation under the Sarbanes-Oxley Act in... Read more →

by   |   November 14, 2014

governance

ISS Proposes New Methodology For Evaluating Equity Plan Proposals

Employment, Public Companies and Securities A key component to evaluating whether to place an equity plan proposal in a proxy is whether or not ISS will support the plan.  Accoding to ISS, while it has historically... Read more →

by   |   October 20, 2014