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Results: 1-10 of 75

Three Dodd-Frank whistleblower anti-retaliation claims fail
  • Stinson Leonard Street LLP
  • USA
  • March 3 2015

Courts recently issued three opinions on the whistleblower anti-retaliation provisions of the Dodd-Frank Act. In Murray v. UBS Securities, LLC, Mr


Third Circuit issues decision in Wal-Mart case
  • Stinson Leonard Street LLP
  • USA
  • July 7 2015

The Third Circuit has issued its decision in the case of Trinity Wall Street v Wal-Mart Stores, Inc. To try and put it simply, Wal-Mart argued


Wal-Mart appeals denial of exclusion of shareholder proposal
  • Stinson Leonard Street LLP
  • USA
  • January 7 2015

Wal-Mart has appealed the United States District of Delaware's decision which denied Wal-Mart the right to exclude a shareholder proposal submitted by


When is a consultant an executive officer? SEC brings another case
  • Stinson Leonard Street LLP
  • USA
  • July 16 2014

The SEC has instituted administrative proceedings against a registrant and others alleging that two individuals with prior law violations secretly


Hedge fund and its partner and lawyer fail on motion to dismiss for breach of fiduciary duty
  • Stinson Leonard Street LLP
  • USA
  • October 5 2014

A case against a hedge fund, and one of its partners and in-house counsel, related to actions at a portfolio company and alleging breach of fiduciary


Wal-Mart explains exclusion of shareholder proposal to Third Circuit
  • Stinson Leonard Street LLP
  • USA
  • January 15 2015

Wal-Mart appealed the United States District of Delaware's decision that denied Wal-Mart the right to exclude a shareholder proposal submitted by


NAM says no need for en banc rehearing in conflict minerals case
  • Stinson Leonard Street LLP
  • USA
  • September 13 2014

Earlier, the United States Court of Appeals for the District of Columbia Circuit ordered the appellants in the conflict minerals case, NAM et al, to


NAM files court motion for stay of conflict minerals rules
  • Stinson Leonard Street LLP
  • USA
  • May 5 2014

NAM et al have filed an emergency motion for stay with the Court of Appeals in the conflict minerals case. As predicted, it is largely a replay of


Court finds internal reporting by whistleblower entitled to Dodd-Frank protections
  • Stinson Leonard Street LLP
  • USA
  • 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


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