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 Commissioner Objects to Retroactive Application of Dodd-Frank Bars

Scale and Gavel

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 John W. Lawton, who purportedly committed multiple violations of the antifraud provisions of the securities laws. The respondent’s alleged misconduct resulted in the imposition of a […] Read more →

by   |   August 5, 2014

whistleblower

SEC Waives Rule and Reverses Course to Grant Whistleblower Windfall

Employment, Litigation In August 2013 the SEC whistleblower claims review staff issued a preliminary determination and recommended a whistleblower claim be denied. Although the record demonstrated that... Read more →

by   |   July 31, 2014

conflict minerals

New Decision Bodes Well for SEC in Conflict Minerals Case

Litigation, Public Companies and Securities In April 2014, the United States Court of Appeals for the District of Columbia held the SEC’s conflict minerals rule and statute embodied in Dodd-Frank violate the First... Read more →

by   |   July 29, 2014

hedge fund

Hedge Fund COO Makes Admissions in SEC Settlement

Investment Advisers, Litigation The SEC announced that the former Chief Operating Officer at Harbinger Capital Partners LLC has agreed to settle allegations that he assisted a scheme by the firm and its owner to... Read more →

by   |   July 28, 2014