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

Dodd-Frank Whistleblower Protections Do Not Apply to Banking Laws

Banking, Employment, Litigation, Uncategorized The United States District Court for the Eastern District of Wisconsin refused to allow a plaintiff to amend his complaint where the plaintiff claimed he was terminated because he complained internally and to the FTC and the FDIC about the defendants’ regulatory violations. The plaintiff sought to file an amended complaint where he sought to […] Read more →

by   |   June 17, 2014

OCC Issues Volcker Rule Interim Examination Procedures

Banking The OCC has issued interim examination procedures for Volcker Rule compliance.  The purpose of the interim examination procedures is to help examiners determine whether banks... Read more →

by   |   June 16, 2014

Don’t Ask a Whistleblower to Investigate the Conduct Reported to the SEC

Litigation The SEC recently charged a hedge fund advisory firm, which we refer to as the employer, for the first time using its new authority to bring anti-retaliation enforcement actions. ... Read more →

by   |   June 16, 2014

A Developing Trend: Heightened Scrutiny of Private Equity Fund Advisers

Broker-Dealer, Investment Advisers, Private Equity The Securities and Exchange Commission has recently increased its efforts in examining private equity fund advisers and the fees and expenses such advisers charge to portfolio... Read more →

by   |   June 16, 2014