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 Finds Confidentiality Agreements Violates Whistleblower Rules

whistleblower

Employment, Litigation, Public Companies and Securities The SEC announced its first enforcement action against a company for using improperly restrictive language in confidentiality agreements with the potential to stifle the whistleblowing process. For those who follow this area, it was not a big surprise as the SEC has been known to be trolling for defendants to make a point.  I wouldn’t […] Read more →

by   |   April 1, 2015

executive compensation

SEC Brings Enforcement Action Related to Perks

Employment, Executive Compensation, Litigation, Public Companies and Securities The SEC charged the former CEO of Silicon Valley-based technology firm Polycom Inc. with using nearly $200,000 in corporate funds for personal perks that were not disclosed to... Read more →

by   |   March 31, 2015

whistleblower

2nd Circuit Upholds SEC’s Denial of Whistleblower Award

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... 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