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

Faulty New Computer System Results in SEC Bringing MD&A Related Charges

Litigation, Public Companies and Securities The SEC recently brought charges against the CEO and CFO of UTi Worldwide Inc. in a settled enforcement proceeding.  The Company was engaged in multinational freight forwarding and logistics operations. In connection with its freight forwarding business, the Company provided cash outlays for transportation costs, customs, duties, taxes, and other expenses. These disbursements temporarily consumed... Read more →

by   |   June 16, 2017

SEC Charges Chief Compliance Officer with AML Violations

Broker-Dealer, Litigation The SEC announced that John David Telfer, the former chief compliance officer and anti-money laundering (AML) officer of a registered broker-dealer, agreed to a securities... Read more →

by   |   June 14, 2017

Shareholder Dismisses Case with Prejudice that Sought to Block Amendment to Intel Stock Plan

Employment, Executive Compensation, Litigation, Public Companies and Securities As we noted here, a shareholder of Intel sought a preliminary and permanent injunction and any other appropriate relief with respect to a stockholder vote to approve the amendment... Read more →

by   |   May 19, 2017

SEC ALJ Lifts Reg A+ Suspension of Issuer

Litigation, Public Companies and Securities As we noted here, the SEC temporarily suspended the Tier 2 Regulation A+ offering of Med-X, Inc. The SEC stated it temporarily suspended the offering because Med-X has not filed... Read more →

by   |   May 8, 2017