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

Test Your Knowledge of the Whistleblower Rules

Employment, Litigation, Public Companies and Securities Consider these hypothetical facts:  Joe Ledger, an accountant at HighTech Co., an exchange traded company, finds some evidence of some mysterious transactions that occurred in the fourth quarter of 2010, indicating that revenue may have been improperly inflated.  In accordance with HighTech’s policy, Joe reports this information to Pete Flyspeck, HighTech’s Chief Compliance Officer, who […] Read more →

by   |   June 2, 2011

SEC Adopts Final Whistleblower Rules

Employment, Litigation, Public Companies and Securities The SEC has adopted final whistleblower rules under Section 922 of the Dodd-Frank Act.  A controversial issue with respect to the proposed rules  was the impact of the... Read more →

by   |   May 25, 2011

First Dodd-Frank Whistleblower Case May Impact Internal Investigations

Employment, Litigation, Public Companies and Securities [Update:  The case against TradingScreen was ultimately dismissed.  Interested readers should refer to subsequent case history.] Egan v. TradingScreen Inc. (S.D.N.Y. May 4,... Read more →

by   |   May 10, 2011

SEC logo

Recent SEC Comments on Issuers’ Disclosures of Loss Contingencies

Litigation, Public Companies and Securities It is no secret that the SEC is expected to review disclosures regarding loss contingencies this year.  To see what may be ahead, we looked at some recent SEC comment letters... Read more →

by   |   May 2, 2011