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Results: 1-10 of 85

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


MD&A rules do not create Rule 10b-5 disclosure obligation
  • Stinson Leonard Street LLP
  • USA
  • October 6 2014

The Ninth Circuit recently examined whether Item 303 of Regulation of S-K, which sets forth the MD&A rules, creates an affirmative duty of disclosure


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


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


SEC sued to implement resource extraction rules
  • Stinson Leonard Street LLP
  • USA
  • September 18 2014

On July 2, 2013, the United States District Court for the District of Columbia vacated the SEC's resource extraction rules which were mandated by the


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


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


SEC files brief in conflict minerals rehearing
  • Stinson Leonard Street LLP
  • USA
  • December 8 2014

The SEC has filed its brief in the conflict minerals rehearing. Amnesty International also filed its brief as intervenor and Free Speech for People


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


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