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 Fights Off Phony Whistleblower Submissions

whistleblower

Employment, Litigation, Public Companies and Securities As might have been expected, some will go to great lengths to claim they are entitled to a whistleblower reward based on suspect evidence.  An example is this Commission order denying a whistleblower award to one person, while making an award to another. In the example noted, the claimant submitted a form claiming entitlement to […] Read more →

by   |   August 29, 2014

whistleblower

SEC Waives Rule and Reverses Course to Grant Whistleblower Windfall

Employment, Litigation In August 2013 the SEC whistleblower claims review staff issued a preliminary determination and recommended a whistleblower claim be denied. Although the record demonstrated that... Read more →

by   |   July 31, 2014

whistleblower

8th Circuit to Determine Scope of Dodd-Frank Whistleblower Claim

Employment, Litigation, Public Companies and Securities The United States District Court for the District of Nebraska has certified a question for interlocutory appeal to the Eighth Circuit in the case of Bussing v. COR Clearing, LLC... Read more →

by   |   July 22, 2014

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When is a Consultant an Executive Officer? – SEC Brings Another Case

Employment, Litigation, Public Companies and Securities The SEC has instituted administrative proceedings against a registrant and others alleging that two individuals with prior law violations secretly controlled the operational and... Read more →

by   |   July 16, 2014