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Gupta claims Dodd-Frank cannot be applied retroactively

Leonard, Street and Deinard
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USA
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March 18 2011

The SEC brought civil insider trading charges against Rajat Gupta in an administrative proceeding

First Dodd-Frank whistleblower case may impact internal investigations

Leonard, Street and Deinard
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USA
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May 10 2011

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

A comparison of the Cincinnati Bell and Beazer say-on-pay decisions

Leonard, Street and Deinard
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USA
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October 6 2011

In Cincinnati Bell, the United States District Court declined to grant a motion to dismiss a law suit resulting from a failed say-on-pay vote

Speculation, inconsistencies and bad math kill proxy access

Leonard, Street and Deinard
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USA
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July 22 2011

SEC Rule 14a-11 allowed a shareholder (or group of shareholders) to include a shareholder nominee, in certain limited circumstances, in a public company’s proxy statement

Faultless Sarb-Ox clawbacks for CEOs and CFOs delay lets you negotiate down

Leonard, Street and Deinard
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USA
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November 15 2011

The SEC has announced that the former chief executive officer and chairman of CSK Auto Corporation, Maynard Jenkins, has agreed to return $2.8 million in bonus compensation and stock profits that he received while the company was committing accounting fraud

Court refuses to dismiss say-on-pay lawsuit

Leonard, Street and Deinard
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USA
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September 22 2011

The United States District Court for the Southern District of Ohio recently refused to grant the defendants’ motion to dismiss litigation resulting from Cincinnati Bell’s failed say-on-pay vote required by the Dodd-Frank Act

SEC study on the cross-border scope of the private right of action under Section 10(b) of the Exchange Act

Leonard, Street and Deinard
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USA
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April 11 2012

Section 929Y of the Dodd-Frank Act directed the SEC to solicit public comment and then conduct a study to consider extending a private right of action for transnational securities fraud

The errors in the Cincinnati Bell say-on-pay decision

Leonard, Street and Deinard
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USA
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September 24 2011

As we noted, the United States District Court for the Southern District of Ohio recently declined to grant a motion to dismiss filed by the officers and directors of Cincinnati Bell that resulted from a failed say-on-pay vote required by the Dodd-Frank Act

SEC stays proxy access rules

Leonard, Street and Deinard
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USA
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October 4 2010

As we noted last week, the Business Roundtable and the Chamber of Commerce of the United States of America (the "petitioners") filed a petition with the United States Court of Appeals for the District of Columbia Circuit seeking review of recent changes to the SEC's proxy and related rules

Comparing the CFTC position limits litigation with the SEC proxy access litigation

Leonard, Street and Deinard
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USA
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December 4 2011

The International Swaps and Derivatives Association, Inc., or ISDA, and the Securities Industry and Financial Markets Association, or SIFMA, have filed a legal challenge to the CFTC’s final rules that limit the positions that investors may own in certain commodities

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