Fees and Expenses

Just because a particular issue gets trimmed from the SEC’s exam priorities list one year to the next doesn’t mean that issue has fallen off ...

This matter arises from false and misleading statements in certain JPMS marketing materials regarding how JPMS compensated registered representatives in its U.S. Private Bank (“JPM ...

Starting in at least 2009, Total Wealth and Cooper breached their fiduciary duties to their clients and investors through a fraudulent scheme to collect, and ...

Nowak was negligent in that he should have known that the confirmations sent to customers contained false and/or misleading information and omitted the markups/markdowns. Nowak ...

Hardly a week goes by now without the SEC bringing another enforcement action against a private fund adviser for issues tied to fees and expenses ...

CCA used Fund assets to pay for certain compliance, legal and operating expenses of CCA in a manner not disclosed in the Fund’s offering memoranda ...

The SEC has brought its first-ever enforcement action against a private equity adviser and four firm executives for failing to disclose conflicts of interest relating ...

Although the Funds’ limited partnership agreements disclosed that the Funds would be charged for expenses that in the good faith judgment of the general partner ...

Fenway Consulting ultimately received an aggregate of $5.74 million from the Portfolio Companies during the Relevant Period. However, in contrast to the monitoring fees paid pursuant ...

No regulatory issue blazes hotter for private equity fund advisers than fees and expenses (IA Watch, Oct. 7, 2015). Now a group of institutional investors ...