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 Charges Chief Compliance Officer for Failure to Verify Information

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Investment Advisers, Litigation David I. Osunkwo was a principal at Strategic Consulting Advisors, LLC, or SC Consulting. SC Consulting offered compliance consulting and CCO services to two SEC registered investment adviser firms under common control, Aegis Capital, LLC and Circle One Wealth Management, LLC. Respondent Osunkwo, a principal at SC Consulting, was designated as CCO to both Aegis […] Read more →

by   |   August 16, 2017

Court Decision May Slow SEC Approval of SRO Rules

Litigation, Public Companies and Securities The SEC must generally approve rules and rule changes by self-regulatory organizations, which are referred to as SROs. According to this SEC web page, there are 37 active SROs. ... Read more →

by   |   August 11, 2017

Another Working Capital Claim Fails in Delaware Because of Liability Limitations

Litigation, M&A In Chicago Bridge & Iron Co. N.V. v. Westinghouse Electric Co. LLC, the Delaware Court of Chancery declined to permit the purchaser of a business to recover a working capital... Read more →

by   |   August 10, 2017

Court Considers Fiduciary Duties in Merger under Minnesota Law

Litigation, M&A The United States District Court for the District of Minnesota considered the application of the fiduciary duties of directors in the context of a merger under the Minnesota... Read more →

by   |   August 8, 2017