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

CFTC Issues Proposed Interpretive Order on Disruptive Trading Practices

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Banking, Derivatives, Energy, Insurance Section 747 of the Dodd-Frank Act prohibits three “disruptive” trading practices and grants the CFTC authority to enforce the prohibitions. Under Section 747, it is unlawful for any person to engage in any trading, practice, or conduct on or subject to the rules of a registered entity (i.e., a designated contract market or swap execution […] Read more →

by   |   March 3, 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

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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

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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