Important developments in U.S. securities law, white collar criminal defense, regulatory enforcement and other emerging issues impacting financial services institutions, publicly traded companies and private investment funds

Sean J. Hill

SEC Charges Private Equity Firm and Four Executives with Failing to Disclose Conflicts of Interest

By Anthony M. Drenzek, Michael Suppappola, Sean J. Hill and Timothy W. Mungovan on November 5, 2015 Posted in SEC Enforcement

On November 3, 2015, the Securities and Exchange Commission (SEC) announced that it had reached a settlement with Fenway Partners, LLC, a New York-based private equity firm, and several of the firm’s executives (the Respondents) in connection with a failure to disclose conflicts of interests to investors with respect to payments made by portfolio companies of … Continue Reading

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