On August 15, 2025, the US Securities and Exchange Commission (SEC) charged a New York-based private equity adviser (the Firm) with breaching its fiduciary duties by failing to adequately disclose its practices regarding the...more
8/20/2025
/ Conflicts of Interest ,
Disclosure Requirements ,
Enforcement Actions ,
Fee Disclosure ,
Fiduciary Duty ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
Limited Partnerships ,
Portfolio Companies ,
Private Equity ,
Private Equity Firms ,
Private Funds ,
Securities and Exchange Commission (SEC)
Enforcement Co-Directors Stephanie Avakian and Steven Peikin recently addressed notable enforcement decisions, actions and trends affecting public companies and regulated entities.
On April 8 and 9, 2019, the US Securities...more
4/17/2019
/ Enforcement Actions ,
False Statements ,
Intent to Defraud ,
Investment Adviser ,
Lorenzo v SEC ,
Publicly-Traded Companies ,
Retail Investors ,
Rule 10b-5 ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Token Sales ,
Unregistered Securities