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 Issues Charges for Accommodating U.S. Domestic Official

enforcement

Litigation, Public Companies and Securities The Securities and Exchange Commission announced that the parent company of United Airlines has agreed to pay $2.4 million to settle charges for providing  a public official with more convenient flight options. The parent company did not admit or deny the SEC’s findings. According to the SEC’s order, United reinstated a nonstop flight between Newark, N.J., […] Read more →

by   |   December 2, 2016

enforcement

SEC Charges Issuer with Inadequate Segment Reporting

Litigation, Public Companies and Securities The SEC charged PowerSecure International, Inc. with matters related to inadequate segment reporting in a settled enforcement action. PowerSecure did not admit or deny the... Read more →

by   |   November 7, 2016

accountant2

SEC Exams Looking for Whistleblower Violations

Broker-Dealer, Employment, Executive Compensation, Investment Advisers, Litigation SEC staff in the Office of Compliance Inspections and Examinations are examining compliance with key whistleblower provisions arising out of the Dodd-Frank Wall Street Reform and... Read more →

by   |   October 24, 2016

SEC logo

SEC Says Mobile Phone Game is an Illegal Security-Based Swap

Derivatives, Litigation I previously discussed an SEC Investor Alert which said fantasy stock trading for small amounts of money can violate provisions of securities laws implemented by the Dodd-Frank... Read more →

by   |   October 13, 2016