Search for: "Walling v. Frank"
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7 Jan 2011, 8:55 am
: The Dodd Frank Wall Street Reform and Consumer Protection Act of 2010’s new whistleblower provisions seem likeliest to have a significant litigation impact. [read post]
5 Jan 2011, 1:17 am
In addition, the Wall Street Journal reported in November that the FDIC is conducting fifty criminal investigations against directors, officers and employees of failed banks. [read post]
30 Dec 2010, 5:51 pm
” Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, there is no longer any protection from private litigation for ratings agency misstatements. [read post]
30 Dec 2010, 11:13 am
The National Consumer Law Center has published this helpful nine-page report on the role of the states (and those seeking to enforce state law) under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. [read post]
30 Dec 2010, 6:56 am
Case law The Spencer v. [read post]
20 Dec 2010, 3:01 pm
Moreover, repurchase transactions and their role in the crisis were left relatively unaddressed by the otherwise sprawling Dodd-Frank Act. [read post]
14 Dec 2010, 6:41 am
Hudson’s decision in Commonwealth of Virginia v. [read post]
5 Dec 2010, 11:25 am
The Dodd-Frank Wall Street Reform and Consumer Protection Act authorized the SEC to implement shareholder access to management’s proxy card to nominate directors for election to the board. [read post]
22 Nov 2010, 10:05 am
This FINRA initiative comes on the heels of the passage of the Dodd-Frank Wall Street Reform and Consumer Protect Act, which requires the SEC to, among other things, conduct a study on what obligations broker-dealers have to their customers and make rules establishing fiduciary duties for broker-dealers. [read post]
19 Nov 2010, 1:13 pm
Laws & Regulations Statutes Recent Legislation Dodd-Frank Wall Street Reform and Consumer Protection Act Pub. [read post]
3 Nov 2010, 3:11 pm
Who wants to give a future election opponent material for attack ads on “shilling for Wall Street? [read post]
3 Nov 2010, 10:14 am
That said, Congress, through Dodd-Frank Wall Street Reform and Consumer Protection Act’s Section 929Y, gave back to the government its ability to file transnational securities fraud charges. [read post]
3 Nov 2010, 7:02 am
The other case is Staub v. [read post]
2 Nov 2010, 12:19 pm
Odd/end number two: Meanwhile, Wall Street Journal’s Law Blog reports on corporate concerns about the whistleblowing provisions of the recently enacted Dodd-Frank Bill. [read post]
2 Nov 2010, 1:59 am
Among the many innovations introduced in the massive Dodd-Frank Wall Street Reform and Consumer Protection Act enacted this past July are the new whistleblower provisions, designed to encourage employees and others to report securities law violations to the SEC. [read post]
22 Oct 2010, 9:16 am
Dodd-Frank effectively expanded the territorial reach of the antifraud provisions of the federal securities laws, but it did not address the territorial reach of RICO.The August 24, 2010, decision is Cedeno v. [read post]
13 Oct 2010, 8:46 am
The temporary rule was promulgated by the SEC in response to Section 975 of the Dodd-Frank Wall Street Reform and Consumer Protection Act requiring registration of such advisers. [read post]
13 Oct 2010, 7:50 am
This week Wayzata-based TCF National Bank has made national news by suing the Federal Reserve challenging the Durbin Amendment to the Wall Street Reform and Consumer Financial Protection Act of 2010, also known as the Dodd-Frank Act. [read post]
11 Oct 2010, 9:38 am
In Riddle v. [read post]
20 Sep 2010, 10:08 am
Non-Enforcement Matters SEC Adopts Interim Rule for Registration of Municipal Advisers In the first of several rules that the SEC is required to adopt under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Reform Act), the SEC on September 2, 2010 adopted a temporary rule to require municipal advisers to be registered by October 1, 2010. [read post]
