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

First Public Company Receives Benefit of SEC Cooperation Policy—Implications for Whistleblower Claims

Banking, Broker-Dealer, Employment, Insurance, Litigation, Public Companies and Securities The first public company received credit for its cooperation as a result of the SEC’s policy with respect to cooperation in investigations and enforcement actions announced in January 2010.  The public company, Carter’s, Inc., entered into a non-prosecution agreement.  The SEC charged a former Executive Vice President of Carter’s Inc. for engaging in financial fraud […] Read more →

by   |   December 20, 2010

SEC’s Proposed Whistleblower Rules—the Good, Bad and Ugly

Employment, Litigation, Public Companies and Securities The SEC has published its proposed whistleblower rules, complete with almost 30 pages of forms for whistleblowers to use.   Employers (and let’s not forget that this applies... Read more →

by   |   November 3, 2010

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SEC to Propose Whistleblower Rules November 3

Employment, Public Companies and Securities The SEC will hold an open meeting to consider the following items on November 3, 2010:  whether to propose rules and forms to implement Section 21F of the Securities Exchange Act... Read more →

by   |   October 27, 2010

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Whistleblower claims begin

Banking, Employment, Litigation, Public Companies and Securities In a comment letter recently sent to the SEC, one firm describes how in a span of just 10 days it had already “filed several whistle-blower complaints with the SEC, pursuant to... Read more →

by   |   August 31, 2010