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

Supreme Court Finds Appointment of SEC ALJs Unconstitutional – What’s Next?

Litigation, Public Companies and Securities In Lucia v. Securities and Exchange Commission, the SEC brought an administrative action before one of its administrative law judges, or ALJ’s, against Raymond Lucia for allegedly using misleading slide presentations to deceive prospective investors using a retirement savings strategy called “Buckets of Money.”  The ALJ that adjudicated the case issued an initial decision finding... Read more →

by   |   June 24, 2018

House Subcommittee Reviews Legislation that would Fundamentally Alter Securities Litigation

Litigation, Public Companies and Securities The House Subcommittee on Capital Markets, Securities, and Investments held a hearing which reviewed two pieces of legislation that have been introduced: H.R. 2128, the “Due... Read more →

by   |   June 13, 2018

SEC Charges 13 Private Fund Advisers for Failure to File Form PF

Litigation, Private Equity The SEC announced settlements with 13 registered private fund investment advisers who repeatedly failed to provide required information that the agency uses to monitor risk. In... Read more →

by   |   June 2, 2018

Longfin, Rule 144 and Affiliate Status

Litigation, Public Companies and Securities The United States District Court for the Southern District of New York recently issued an opinion granting a preliminary injunction with respect to alleged Section 5 violations by... Read more →

by   |   May 3, 2018