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Results: 1-10 of 29

SEC awards and denies whistleblower claims in hedge fund case

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • June 12 2013

On October 26, 2011, the Commission filed an enforcement action in SEC v. Andrey C. Hicks and Locust Offshore Management, LLC, 1:11-cv-11888-RGS (D

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

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • 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

Court notes Form 8-K is not the exclusive source of disclosure obligations

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • January 22 2014

In re Hi-Crush Partners L.P. Securities Litigation (2013 WL 6233561 (S.D.N.Y.) (December 2013) examines the interplay between Form 8-K triggering

First Dodd-Frank whistleblower case may impact internal investigations

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • 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

Whistleblower not entitled to jury trial

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • November 13 2013

In Pruett v BlueLinx Holdings, Inc., decided by the United States District Court for the Northern District of Georgia (1:13-cv-02607), the court held

SEC stays proxy access rules

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • 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

Court refuses to dismiss say-on-pay lawsuit

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • 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

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

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • 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

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

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • 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

Private companies can have SOX whistleblowers too

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • March 5 2014

Section 806 of the Sarbanes-Oxley Act, codified at 18 U.SC. 1514A provides in part that: "No public company . . . , or any officer, employee