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

Enforcement Sweep Snares Issuers for Paid Stock Promotions

Litigation, Public Companies and Securities The SEC announced enforcement actions against 27 individuals and entities behind various alleged stock promotion schemes that left investors with the impression they were reading independent, unbiased analyses on investing websites while writers were being secretly compensated for touting company stocks. The SEC filed fraud charges against three public companies and seven stock promotion or […] Read more →

by   |   April 10, 2017

Equity Grants to Directors Subject to Business Judgment Review as a Result of Specific Plan Limits

Employment, Executive Compensation, Litigation, Public Companies and Securities The Delaware Court of Chancery examined equity grants to directors in In Re Investors Bancorp, Inc. Stockholder Litigation.  The equity incentive plan, or EIP, at issue included... Read more →

by   |   April 5, 2017

Press Releases Sink Private Offering

Litigation, Public Companies and Securities The opinion of the SEC in KCD Financial Inc. upholds a FINRA disciplinary action against a FINRA member broker-dealer that sold securities in a private placement when no exemption... Read more →

by   |   March 29, 2017

Judge Orders Status Report in Conflict Minerals Case

Litigation, Public Companies and Securities Update:  See our blog on the status report here. The conflict minerals case was remanded to the United Stated District Court for the District of Columbia for further proceedings.... Read more →

by   |   February 15, 2017