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 »

Latest Dodd-Frank Posts

CEO Hit With Sarb-Ox Clawback

Employment, Litigation, Public Companies and Securities The former CEO of Saba Software, Inc. agreed to repay over $2.5 million in bonuses, other incentive-based or equity-based compensation, and stock sale profits pursuant to Section 304(a) of the Sarbanes-Oxley Act.  The action resulted from allegedly wrongful conduct where Saba consultants misstated revenues by manipulating time records by either recording time in advance of […] Read more →

by   |   September 24, 2014

SEC Charges Private Equity Sponsor for Misallocation of Expenses on Integrated Portfolio Companies

Investment Advisers, Private Equity, Uncategorized The SEC charged a private equity sponsor with breaching its fiduciary duty to a pair of private equity funds by sharing expenses between a company in one’s portfolio and a... Read more →

by   |   September 22, 2014

Yes, Foreigners Can be Whistleblowers

Employment, Litigation, Public Companies and Securities The SEC announced that its largest ever whistleblower award estimated to be worth more than $30 million will be paid to a resident of a foreign country.  While the eligibility of... Read more →

by   |   September 22, 2014

SEC Advisory Committee Makes Recommendations on Disclosure of Preliminary Voting Results

Public Companies and Securities The Investor as Owner Subcommittee of the SEC’s Investor Advisory Committee established pursuant to Section 911 of the Dodd-Frank Act has issued two recommendations on... Read more →

by   |   September 21, 2014