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Results: 1-10 of 75

Whistleblower doesn’t have to report to SEC for Dodd-Frank protection
  • Stinson Leonard Street LLP
  • USA
  • May 12 2014

In Yang v. Navigators Group, Inc. (S.D.N.Y. 2014), the court held the Dodd-Frank anti-retaliation statute does not clearly and unambiguously limit


Courts begin to split on whistleblower protection
  • Stinson Leonard Street LLP
  • USA
  • July 20 2013

The Fifth Circuit has held in Asadi v. G.E. Energy (USA) ,LLC that a whistleblower must provide information to the SEC in order to be protected by


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


Trinity Wall Street responds in appeal of exclusion of shareholder proposal
  • Stinson Leonard Street LLP
  • USA
  • February 4 2015

Currently before the Third Circuit is Trinity Wall Street v. Wal-Mart Stores, Inc. The case involves whether Wal-Mart can exclude a shareholder


A comparison of the Cincinnati Bell and Beazer say-on-pay decisions
  • Stinson Leonard Street LLP
  • USA
  • 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


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


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


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


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


Speculation, inconsistencies and bad math kill proxy access
  • Stinson Leonard Street LLP
  • USA
  • 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