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 Litigation

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

whistleblower

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 (8:12-cv-238). The question involves whether improper conduct has to be reported to the SEC to qualify for anti-retaliation whistleblower protection under the Dodd-Frank Act. You […] Read more →

by Steve Quinlivan   |   July 22, 2014

SEC logo

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 Steve Quinlivan   |   July 16, 2014

Scale and Gavel

Examples of Fee Shifting By-Laws

Litigation, Public Companies and Securities Some smaller companies and those in the process of going public have begun adopting fee shifting by-laws.  As my colleagues at Stinson Leonard Street have advised, we urge... Read more →

by Steve Quinlivan   |   July 12, 2014

whistleblower

SEC: Don’t Ignore the Habitually Wrong Whistleblower

Broker-Dealer, Employment, Investment Advisers, Litigation, Municipal Advisors, Private Equity, Public Companies and Securities SEC Chair Mary Jo White recently gave a speech on a number of important matters, including the role of directors as gatekeepers, her views of self-reporting of violations and the... Read more →

by Steve Quinlivan   |   June 24, 2014