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 “Dodd-Franks” Gupta

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Litigation Section 929P of the Dodd-Frank Act amended, among other things, Section 21B(a) of the Securities Exchange Act to permit the SEC to impose civil monetary penalties in administrative cease-and-desist proceedings before an administrative law judge.  The provision eliminates the need for the SEC to seek a court order imposing civil penalties following the entry of […] Read more →

by   |   March 3, 2011

SEC Settles Clawback Claim With Beazer Homes CEO

Employment, Executive Compensation, Litigation, Public Companies and Securities The SEC has announced a settlement with the chief executive officer of an Atlanta-based homebuilder to recover several million dollars in bonus compensation and stock profits that... Read more →

by   |   March 3, 2011

Court Holds Dodd-Frank Ban on Arbitration of Whistleblower Claims is Retroactive

Employment, Litigation, Uncategorized In Pezza v. Investors Capital Corp., (D. Mass. Civ. Ac. No. 10-10113-DPW), the plaintiff claimed he was wrongfully retaliated against, in violation of the Sarbanes-Oxley Act,... Read more →

by   |   March 3, 2011

First Public Company Receives Benefit of SEC Cooperation Policy—Implications for Whistleblower Claims

Banking, Broker-Dealer, Employment, Insurance, Litigation, Public Companies and Securities The first public company received credit for its cooperation as a result of the SEC’s policy with respect to cooperation in investigations and enforcement actions announced in... Read more →

by   |   December 20, 2010