Leonard Street and Deinard 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 Leonard, Street and Deinard, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Litigation

Court Finds Internal Reporting by Whistleblower Entitled to Dodd-Frank Protections

whistleblower

Broker-Dealer, Employment, Investment Advisers, Litigation, Public Companies and Securities In Murray v. UBS Securities LLC et al (12-CV-5914 S.D.N.Y.) the court found that an employee who reports violations of securities laws to his supervisor, but not the SEC, is entitled to the anti-retaliation protections for whistleblowers under the Dodd-Frank Act.  Here, the plaintiff employee alleges he was pressured to write favorable research reports to [...] Read more →

by   |   May 23, 2013

whistleblower

Whistleblower Law Firm Complains to SEC

Litigation, Public Companies and Securities, Uncategorized Two partners from a self-described law firm that specializes in the representation of whistleblowers have sent a letter to the SEC Commissioners complaining about the use of... Read more →

by   |   May 17, 2013

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SEC Warns Public Officials About Potential Liability

Litigation The SEC instituted a settled cease-and-desist proceeding against the City of Harrisburg, Pennsylvania for its violations of Section 10(b) of the Securities Exchange Act... Read more →

by   |   May 6, 2013

crowdfunding

Crowdfunding and Jobs Act News Roundup – April 26, 2013

Litigation, Public Companies and Securities On Thursday the SEC sent out a press release captioned “SEC Seeks to Halt Scheme Raising Investor Funds Under Guise of JOBS Act.”  The action doesn’t really have anything... Read more →

by   |   April 26, 2013