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 Cops Bust 36 for Failure to File Ownership Reports

Quinlivan_Stephen_M4x5 2014 bio photo

Investment Advisers, Litigation, Public Companies and Securities The SEC charged 29 officers, directors, or major shareholders for violating federal securities laws requiring them to promptly report information about their holdings and transactions in company stock.  Seven publicly-traded companies were charged for contributing to filing failures by insiders or failing to report their insiders’ filing delinquencies. 35 of the 36 agreed to settle […] Read more →

by   |   September 10, 2014

whistleblower

Whistleblowers Fight Over SEC Award

Employment, Litigation, Public Companies and Securities, Uncategorized It was predictable someone would submit a phony whistleblower claim, and I suppose it was predictable there would be a fight over an actual award, like co-workers diving for a... Read more →

by   |   September 4, 2014

whistleblower

SEC Fights Off Phony Whistleblower Submissions

Employment, Litigation, Public Companies and Securities As might have been expected, some will go to great lengths to claim they are entitled to a whistleblower reward based on suspect evidence.  An example is this Commission order... Read more →

by   |   August 29, 2014

Scale and Gavel

SEC Commissioner Objects to Retroactive Application of Dodd-Frank Bars

Investment Advisers, Litigation, Municipal Advisors Commissioner Gallagher recently filed this opinion dissenting in part with respect to In the Matter of John W. Lawton. The matter arose out of the alleged misconduct of respondent... Read more →

by   |   August 5, 2014