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Results: 1-10 of 81

Court finds SEC administrative proceeding constitutional
  • Stinson Leonard Street LLP
  • USA
  • March 7 2015

Section 929P(a) of the Dodd-Frank Act provides that the SEC's authority in administrative penalty proceedings is "coextensive" with its authority to


Revealing whistleblower’s identity is retaliation
  • Stinson Leonard Street LLP
  • USA
  • November 14 2014

The United States Court of Appeals for the Fifth Circuit held that revealing a whistleblower's identity is prohibited retaliation under the


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


Amicus briefs pour in for Wal-Mart shareholder proposal case
  • Stinson Leonard Street LLP
  • USA
  • January 23 2015

Amicus briefs are pouring in in favor of Wal-Mart in its appeal to the Third Circuit. Wal-Mart appealed the United States District of Delaware's


Supreme Court interprets Sarbanes-Oxley evidence destruction provisions
  • Stinson Leonard Street LLP
  • USA
  • February 25 2015

We now know that Sarbanes-Oxley does not apply to fish . . . While conducting an offshore inspection of a commercial fishing vessel in the Gulf of


Second Circuit stays SEC administrative proceeding
  • Stinson Leonard Street LLP
  • USA
  • September 19 2015

Defendants continue to pound nails into what may be to be the SEC’s Coffin that its administrative proceedings are unconstitutional. If the genie is


SEC Proposes New Resource Extraction Rule
  • Stinson Leonard Street LLP
  • USA
  • December 11 2015

The SEC has proposed Rule 13q-1 and an amendment to Form SD to implement Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection


SEC seeks respect for its in-house court
  • Stinson Leonard Street LLP
  • USA
  • September 24 2015

SEC administrative proceedings have long been viewed as a one-sided rocket docket tilted toward giving the SEC every advantage possible. In response


A Saab is not a tangible object either
  • Stinson Leonard Street LLP
  • USA
  • May 14 2015

We previously reported on a U.S. Supreme Court case which interpreted the evidence destruction provisions of Sarbanes-Oxley. A plurality of the Court


Conflict minerals rule still unconstitutional after rehearing
  • Stinson Leonard Street LLP
  • USA
  • August 18 2015

The United States Court of Appeals for the District of Columbia issued its decision on the conflict minerals rule after a rehearing. In National