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 13 Private Fund Advisers for Failure to File Form PF

Litigation, Private Equity The SEC announced settlements with 13 registered private fund investment advisers who repeatedly failed to provide required information that the agency uses to monitor risk. In SEC parlance, private funds are generally hedge funds and private equity funds that are required to register with the SEC. While I do not want to question the efforts […] Read more →

by   |   June 2, 2018

Longfin, Rule 144 and Affiliate Status

Litigation, Public Companies and Securities The United States District Court for the Southern District of New York recently issued an opinion granting a preliminary injunction with respect to alleged Section 5 violations by... Read more →

by   |   May 3, 2018

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Yahoo/Altaba Agree to $35 Million SEC Penalty for Failure to Disclose Massive Security Breach

Litigation, Public Companies and Securities In perhaps the SEC’s first major shot across the bow, Yahoo (now known as Altaba) has agreed to pay the SEC $35 million for failure to disclose a massive security breach to its... Read more →

by   |   April 24, 2018

“True Lender” Litigation on the Rise: Recent Litigation and Enforcement Actions Challenge Traditional Bank Partnership Model

Banking, Consumer Protection, Litigation Over the last two years the financial industry has seen an uptick in litigation and enforcement actions aimed at banks and their non-bank lending partners. These actions have... Read more →

by   |   April 2, 2018