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

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, 2011) is the first case dealing with the Dodd-Frank Act’s whistleblower provisions that we are aware of.  Plaintiff Patrick Egan was employed by TradingScreen.  It seems to fall into the category of “bad […] Read more →

by   |   May 10, 2011

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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

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Gupta Claims Dodd-Frank Cannot be Applied Retroactively

Litigation, Public Companies and Securities The SEC brought civil insider trading charges against Rajat Gupta in an administrative proceeding.  In so doing, the SEC used newly granted authority under the Dodd-Frank Act to... Read more →

by   |   March 18, 2011

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SEC “Dodd-Franks” Gupta

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... Read more →

by   |   March 3, 2011