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 Says Mobile Phone Game is an Illegal Security-Based Swap

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Derivatives, Litigation I previously discussed an SEC Investor Alert which said fantasy stock trading for small amounts of money can violate provisions of securities laws implemented by the Dodd-Frank Act. According to the SEC, the terms “swap,” “security-based swap,” and “derivative” includes any agreement, contract, or transaction whose value is based upon – or “derivative” of – […] Read more →

by   |   October 13, 2016

CFPB’s Structure Ruled Unconstitutional but it Avoids Being Dismantled

Banking, Broker-Dealer, CFPB, Consumer Protection, Litigation On October 11, 2016, the United States Court of Appeals for the D.C. Circuit issued its highly anticipated opinion in PHH Corp., et al. v. CFPB, holding that the Consumer... Read more →

by   |   October 11, 2016

SEC Brings Second Whistleblower Retaliation Case

Employment, Litigation, Public Companies and Securities The SEC has brought its second case for retaliation against a whistleblower against International Game Technology. According to the SEC, the whistleblower, a director of an IGT... Read more →

by   |   September 29, 2016

SEC Enforcement Actions for Failure to Report Sales of Unregistered Securities

Litigation, Public Companies and Securities On two successive days, the SEC brought settled enforcement actions against issuers for failure to report sales of unregistered securities. Under Item 1.01 of Form 8-K, a... Read more →

by   |   September 27, 2016