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

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

SEC logo

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 management decisions of the registrant while calling themselves outside “consultants.”  According to the SEC this arrangement enabled the two consultants to be de facto officers of the registrant and personally profit... Read more →

by   |   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   |   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   |   June 24, 2014

hedge fund

Integrated Private Equity Firms Charged With Failure to Register and Pay-to-Play Violations

Investment Advisers, Litigation, Private Equity The SEC charged two firms with failing to register as investment advisers because their operations were integrated (SEC orders are here and here) and charged one of the entities... Read more →

by   |   June 20, 2014