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Whistleblower law firm complains to SEC

Leonard, Street and Deinard
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USA
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May 17 2013

Two partners from a self-described law firm that specializes in the representation of whistleblowers have sent a letter to the SEC Commissioners

Court finds internal reporting by whistleblower entitled to Dodd-Frank protections

Leonard, Street and Deinard
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USA
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May 23 2013

In Murray v. UBS Securities LLC et al (12-CV-5914 S.D.N.Y.) the court found that an employee who reports violations of securities laws to his

What does a clawback policy look like?

Leonard, Street and Deinard
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USA
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August 9 2010

Section 954 of the Dodd-Frank Act requires national securities exchanges (meaning for instance, the NYSE, Amex and Nasdaq) to adopt rules as directed by the SEC, which rules will require issuers to develop and implement a policy providing:for disclosure of an issuer's policy on incentive compensation that is based on financial information required to be reported under securities laws; and that, if an accounting restatement is prepared, the issuer will recover any excess incentive-based compensation from any current or former executive officer who received such incentive-based compensation in the three preceding years

Mandatory clawbacks are on the waya checklist of items to consider

Leonard, Street and Deinard
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USA
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December 30 2010

Section 954 of the Dodd-Frank Act requires the SEC to direct national securities exchanges to prohibit the listing of public companies that, among other things, do not develop and implement a policy providing for the recovery of erroneously paid incentive-based compensation following a required accounting restatement

DOL publishes new rule for Sarb-Ox retaliation complaints

Leonard, Street and Deinard
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USA
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November 4 2011

The Dodd-Frank Act amended the Sarbanes-Oxley whistleblower provisions

Changes to D&O questionnaires to implement NYSE and NASDAQ compensation committee independence rules

Leonard, Street and Deinard
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USA
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February 1 2013

Both the NYSE and Nasdaq stock exchanges are requiring most issuers to have independent compensation committees by the earlier of their first annual

What is a trade or business and why does it matter?

Leonard, Street and Deinard
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USA
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May 16 2012

If an employer withdraws from a multiemployer plan and is assessed withdrawal liability, all members of the employer’s controlled group are liable for that assessment

Whistleblowers, Dodd-Frank and Sarbanes-Oxley

Leonard, Street and Deinard
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USA
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August 5 2010

The Dodd-Frank Act and the Sarbanes-Oxley Act both have provisions for whistleblowers

Dodd-Frank: disclosure of median comp of what utility?

Leonard, Street and Deinard
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USA
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August 6 2010

I have been thinking about the new Dodd-Frank requirement for public companies to report the ratio of the median annual total compensation of all the company's employees (other than the CEO) to the CEO's annual total compensation

What does a say-on pay vote look like?

Leonard, Street and Deinard
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USA
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August 18 2010

Under the Dodd-Frank Act, listed issuers will be required to include a say-on-pay vote for any shareholder meeting occurring on or after January 21, 2011

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