Federal Courts Divided On the Definition of “Whistleblower” As That Word is Used in the Dodd-Frank Act

The U.S. district courts are currently split on the question of whether the anti-retaliation provisions of the federal Dodd-Frank Act (“DFA”) apply to employees who disclose their employer’s alleged securities violations to company officials but do not report the claimed violations to the SEC. 

Illinois AG Wins Motion to Add Dodd-Frank UDAAP Claim to Complaint Against for-profit College

By | CFPB Monitor | May 21, 2014
Illinois AG Wins Motion to Add Dodd-Frank UDAAP Claim to Complaint Against for-profit College

Earlier this month, an Illinois state court granted the motion of the state’s Attorney General to further amend her complaint in a lawsuit filed against a for-profit college and its owners to add new counts alleging that the defendants’ practices were unfair and abusive under the federal Consumer Financial Protection Act (CFPA) (Title 10 of Dodd-Frank).

Pension Usage of Swaps

By | Pension Risk Matters | April 4, 2014
Pension Usage of Swaps

I have been writing, training and consulting about the use of derivatives by pension plans for many years. There is no shortage of topics, especially in the aftermath of the Dodd-Frank Wall Street Reform and Consumer Protection (“Dodd-Frank“) and the fact that pension investing and derivatives trading are significant elements of the capital markets.