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

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 anti-retaliation protections afforded by the Dodd-Frank Act. In so doing, the court followed the Fifth Circuit’s opinion in Asadi. The plaintiff argued that […] Read more →

by   |   December 29, 2014

Question mark

ISS Issues FAQs on Independent Chair Policy and Equity Plan Scorecard

Employment, Executive Compensation, Public Companies and Securities ISS previously issued its 2015 policy updates which we discussed here.  ISS has now issued FAQs on the independent chair policy and the Equity Plan Scorecard. Independent Chair... Read more →

by   |   December 24, 2014

whistleblower

3rd Circuit Holds Dodd-Frank Retaliation Claim Subject to Arbitration

Broker-Dealer, Employment, Litigation, Public Companies and Securities In Khazin v. TD Ameritrade the United States Court of Appeals for the Third Circuit held that securities-related retaliation claims brought under Dodd-Frank pursuant to 15 U.S.C.... Read more →

by   |   December 19, 2014

whistleblower

SEC Describes Profiles of Successful Whistleblowers

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... Read more →

by   |   November 18, 2014