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

Three Dodd-Frank Whistleblower Anti-Retaliation Claims Fail

whistleblower

Employment, Litigation, Public Companies and Securities Courts recently issued three opinions on the whistleblower anti-retaliation provisions of the Dodd-Frank Act. In Murray v. UBS Securities, LLC, Mr. Murray claimed he was terminated because he refused to skew his research on commercial mortgage backed securities, or CMBS. Mr. Murray brought an anti-retaliation claim under the Consumer Financial Protection Act, which is Title […] Read more →

by   |   March 3, 2015

Scale and Gavel

Supreme Court Interprets Sarbanes-Oxley Evidence Destruction Provisions

Litigation, Public Companies and Securities We now know that Sarbanes-Oxley does not apply to fish . . . While conducting an offshore inspection of a commercial fishing vessel in the Gulf of Mexico, a federal agent found... Read more →

by   |   February 25, 2015

Scale and Gavel

Sandy Hook Parents and Securities Law Professors Support Trinity Wall Street; Wal-Mart Replies

Litigation, Public Companies and Securities A group comprised of parents whose children or spouses were victims in the Sandy Hook tragedy, together with the Law Center to Prevent Gun Violence, have filed a brief in support... Read more →

by   |   February 15, 2015

bad actor

Bad Actor Disqualifications Are Not Sanction Enhancements

Litigation, Public Companies and Securities SEC Commissioner Daniel M. Gallagher delivered a speech where he considered the role of bad actor disqualifications in the context of the SEC’s enforcement initiatives. ... Read more →

by   |   February 14, 2015