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 Targets Perqs in Another Enforcement Action

Employment, Executive Compensation, Litigation, Public Companies and Securities The SEC has targeted disclosure of executive perquisites in another settled enforcement action.  According to the SEC, the issuer did not follow the Commission’s standard regarding disclosure of perquisites, which provides that: An item is not a perquisite or personal benefit if it is integrally and directly related to the performance of the executive’s duties. […] Read more →

by   |   July 4, 2018

SEC Tags Private Equity Group for Accelerated Fees

Litigation, Private Equity The SEC entered into an agreed settlement with a private equity group for receiving accelerated fees without the consent of all necessary parties prior to the commitment of... Read more →

by   |   July 3, 2018

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... 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