Stinson Leonard Street

SEC Imposes $6 Million in Penalties for Straw Purchaser Arrangement

On March 26, 2015, the SEC settled charges against 22 parties relating to arrangements by which companies not registered as broker-dealers purchased securities on behalf of Global Fixed Income, LLC (GFI) and received…more
| Administrative Law, Commercial Law & Contracts, Securities Law

SEC Brings Enforcement Action Related to Perks

The SEC charged the former CEO of Silicon Valley-based technology firm Polycom Inc. with using nearly $200,000 in corporate funds for personal perks that were not disclosed to investors. It’s the second enforcement action in…more
| Administrative Law, Business Organizations, Commercial Law & Contracts, Securities Law

Ameriprise Avoids Trial On Class Action Suit By Current and Former Employees With $27.5 Million Payment

In 2011, a group of current and former employees filed a class action lawsuit in the District Court of Minnesota claiming that Ameriprise Financial, Inc. and members of its 401(k) Plan fiduciary committee had breached their…more
| Civil Procedure, Civil Remedies, Labor & Employment Law, Finance & Banking, Business Torts

John Young, Jr. and Neal Griffin Help Desloge, Missouri, Win Court of Appeals Case Against KKK

Stinson Leonard Street LLP attorneys John Young, Jr. and Neal Griffin recently scored a win for a Missouri city in a high-profile case at the U.S. Court of Appeals for the Eighth Circuit. Young and Griffin represented the…more
| Civil Procedure, Civil Rights, Constitutional Law

CFTC Provides Chief Compliance Officers Additional Time to Submit Annual Reports

The CFTC’s Division of Swap Dealer and Intermediary Oversight issued a no-action letter to futures commission merchants, swap dealers and major swap participants, referred to as registrants, that provides relief from certain…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Trends, Pitfalls and Opportunities in Celebrity Philanthropy

Athletes and celebrities have a long and storied track record with charitable causes. A celebrity can turn an otherwise unknown cause into a charitable powerhouse simply by lending a high profile name and likeness. Today,…more
| Art, Entertainment, & Sports Law, Taxation, Nonprofit Law

SEC Issues Final Regulation A+ Rules

The SEC has adopted amendments to Regulation A and other rules and forms to implement Section 401 of the JOBS Act. Section 401 of the JOBS Act added Section 3(b)(2) to the Securities Act of 1933, which directed the SEC to adopt…more
| Administrative Law, Business Organizations, Securities Law

Eighth Circuit Shows How Difficult It Is To Prove Arbitration Agreement Unconscionable Due To Cost

Almost two years ago in American Express Co. v. Italian Colors, SCOTUS significantly narrowed, but did not overrule, the “effective vindication” doctrine, which allows plaintiffs to invalidate an arbitration agreement if it…more
| Alternative Dispute Resolution (ADR), Civil Procedure, Franchise Law

SCOTUS Will Hear Arbitration Case in October Term

Just as I was beginning to worry that arbitration had fallen out of favor at the nation’s highest court… today the Supreme Court announced that it will hear the case of DIRECTV, Inc. v. Imburgia during its October Term, an…more
| Alternative Dispute Resolution (ADR), Civil Procedure, Communications & Media Law, Consumer Protection

CFTC to Shift Enforcement Actions to Administrative Courts

The CFTC plans to revive the use of administrative courts to bring enforcement actions for violations of the Commodity Exchange Act and CFTC regulations, according to recent remarks by Aitan Goelman, Director of the Division of…more
| Administrative Law, Commercial Law & Contracts, Finance & Banking, Securities Law

Fed Governor Says Volker Rule Thresholds Should be Raised

In testimony before a Senate committee, Federal Reserve Governor Daniel K. Tarullo suggested the threshold for the Volker rule should be raised. He noted the Volcker rule and the incentive compensation requirements of Section…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Issuers Omit Proposals From Proxy Statements

As noted here, two issuers have omitted shareholder proposals from preliminary proxy statements where no-action letters from the SEC regarding omission of the proposals have been withdrawn. The blog suggests, within its rights,…more
| Commercial Law & Contracts, Labor & Employment Law, Finance & Banking, Securities Law

DOL Gives Retirement Plan Sponsors of Participant Directed Retirement Plans Additional Time to Provide Employee Fee Disclosures

U.S. Department of Labor (DOL) regulations require 401(k) plan fiduciaries to provide plan participants with a detailed disclosure statement about the plan’s designated investment alternatives, prior to initial enrollment and at…more
| Labor & Employment Law, Finance & Banking

Eighth Circuit Finds Former Employees Lack Standing To Challenge Employer’s New Arbitration Policy

What’s one way to derail a potentially large collective action about Fair Labor Standards Act violations? To implement a new arbitration policy within days, thereby ensuring that your current employees cannot join the court…more
| Alternative Dispute Resolution (ADR), Civil Procedure, Constitutional Law, Labor & Employment Law

CFPB to Allow Consumers to Voice Public Complaints About Financial Companies

The CFPB is finalizing a policy to allow consumers to voice publicly their complaints about consumer financial products and services. When consumers submit a complaint to the CFPB, they now have the option to share their account…more
| Finance & Banking, Consumer Protection
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Contact

150 South Fifth Street Suite 2300
Minneapolis, MN 55402, United States

  • 612.335.7222
  • 612.335.1657

Areas of Practice
  • Agriculture
  • Alternative Dispute Resolution (ADR)
  • Antitrust & Trade Regulation
  • Appellate Practice
  • Art, Entertainment, & Sports Law
  • Bankruptcy
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  • Business Torts
  • Class Action
  • Commercial Law & Contracts
  • Construction Law
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  • Products Liability
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  • Securities Law
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  • Worker’s Compensation
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See more
Locations
Other U.S. Locations
  • D.C.
  • Minnesota
  • North Dakota
Number of Attorneys

100+ Attorneys

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