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

SEC Grants Second Bad Actor Waiver With Conditions

bad actor

Broker-Dealer, Litigation SEC Commissioner Kara Stein recently described what many saw as a possible model for harsher bad actor waivers after settling a matter with the SEC.  According to Ms. Stein “The waiver was for a limited time, and only if certain conditions were met, creating essentially a probationary period for the firm with a right to […] Read more →

by   |   January 27, 2015

proxy

Amicus Briefs Pour in for Wal-Mart Shareholder Proposal Case

Litigation, Public Companies and Securities Amicus briefs are pouring in in favor of Wal-Mart in its appeal to the Third Circuit.  Wal-Mart appealed the United States District of Delaware’s decision that denied Wal-Mart... Read more →

by   |   January 23, 2015

Scale and Gavel

2nd Circuit Says MD&A Rules Provide Basis for 10b-5 Claims

Litigation, Public Companies and Securities In Stratte-McClure v. Morgan Stanley et al, the Second Circuit held that MD&A rules set forth in Item 303 of Regulation S-K can give rise to a Rule 10b-5 claim. In so doing,... Read more →

by   |   January 16, 2015

M&A

Chancery Explains New Delaware Statute of Limitations

Litigation In Bear Stearns Mortgage Funding Trust 2006-SL1 v. EMC Mortgage LLC et al, the Delaware Court of Chancery explained the operation of Section 8106(c) of the Delaware statutes for... Read more →

by   |   January 13, 2015