Stinson Leonard Street 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 Sends Another Message on Section 16 Filings

Litigation, Public Companies and Securities In connection with a partial settlement of alleged fraudulent activities, the SEC charged three directors of a company associated with the fraud, but who did not participate in the fraud,with failing to make Section 16 filings. Two of the directors, one of which is a former Governor of the State of New York, settled the […] Read more →

by   |   September 25, 2016

OSHA Addresses Sarbanes-Oxley Whistleblower Releases

Employment, Litigation, Public Companies and Securities We have written about SEC enforcement actions related to severance and confidentiality agreements that restrict reporting matters to the SEC. OSHA has also issued guidance... Read more →

by   |   September 24, 2016

SDNY Awards Front Pay in Sarbanes-Oxley Whistleblower Retaliation Case

Employment, Litigation, Public Companies and Securities Perez v. Progenics Pharmaceuticals, Inc., involved a case where Plaintiff Perez drafted a memo to Progenics’ general counsel and his department head, accusing Progenics of... Read more →

by   |   September 21, 2016

SEC Suspends Regulation A+ Offering

Litigation, Public Companies and Securities In the first action of its kind, the SEC has temporarily suspended the Tier 2 Regulation A+ offering of Med-X, Inc. The $15 million continuous offering of common stock was... Read more →

by   |   September 16, 2016