Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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SEC Commissioner Objects to Retroactive Application of Dodd-Frank Bars

Commissioner Gallagher recently filed this opinion dissenting in part with respect to In the Matter of John W. Lawton. The matter arose out of the alleged misconduct of respondent John W. Lawton, who purportedly committed...more

8/6/2014 - Dodd-Frank Fraud Investment Advisers Act of 1940 NRSRO SEC

Final SEC Rule Disqualifying Bad Actors From Rule 506 Offerings

The SEC has adopted final rules to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 926 required the SEC to adopt rules that disqualify securities offerings involving certain...more

7/15/2013 - Anti-Corruption Bad Actors Convictions Dodd-Frank Felonies Fraud Regulation D Rule 506 Offerings SEC Section 926

SEC Awards And Denies Whistleblower Claims In Hedge Fund Case

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. Mass. 2011) (the “Locust Matter”). ...more

6/13/2013 - Enforcement Fraud Hedge Funds SEC Whistleblowers

Crowdfunding And JOBS Act News Roundup – May 31, 2013

President Obama has nominated a pair of Senate aids to be SEC Commissioners. Dr. Michael Piwowar is the Chief Economist for the U.S. Senate Committee on Banking, Housing, and Urban Affairs, a position he has held since 2009. ...more

6/3/2013 - Barack Obama Crowdfunding FINRA Fraud FSOC JOBS Act Nominations SEC

PCAOB, Auditors And Executive Compensation

The Public Company Accounting Oversight Board, or PCAOB, has reproposed a new auditing standard, Related Parties, and certain other amendments to its standards. Overall, the reproposal is directed at detecting material...more

5/9/2013 - Audits Compensation Committee Executive Compensation Fraud PCAOB

Crowdfunding And JOBS Act News Roundup – April 26, 2013

On Thursday the SEC sent out a press release captioned “SEC Seeks to Halt Scheme Raising Investor Funds Under Guise of JOBS Act.” The action doesn’t really have anything to do with the JOBS Act, as in the sense that it seeks...more

4/29/2013 - Crowdfunding Fraud JOBS Act SEC

CFPB Halts Alleged Nationwide Mortgage Loan Modification Scams

The CFPB has announced actions to halt two alleged mortgage loan modification scams it believes ripped-off thousands of struggling homeowners across the country. According to the CFPB, these operations took in more than $10...more

12/12/2012 - CFPB Foreclosure Fraud Loan Modifications Mortgages Scams

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