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 Executive Compensation

SEC Brings Enforcement Action Related to Perks

executive compensation

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 investors. It’s the second enforcement action in this area that I recall, the other one occurred in 2011 and is discussed here. The complaint begins by alleging […] Read more →

by   |   March 31, 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

claw back

CFOs Agree to Sarb-Ox Clawback

Executive Compensation, Litigation, Public Companies and Securities Two former CFOs have agreed to return nearly a half-million dollars in bonuses and stock sale profits they received while their Silicon Valley software company, Saba Software,... Read more →

by   |   February 10, 2015

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ISS Posts FAQs on Compensation Policies

Executive Compensation, Public Companies and Securities, Uncategorized ISS has posted new FAQs on U.S. compensation policies. There are 104 FAQs spanning 43 pages. Given their breadth, they are difficult to summarize. But they cover topics ranging... Read more →

by   |   February 10, 2015