Stinson Leonard Street Dodd Frank


The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Private Equity

SEC Nabs Private Equity Sponsor for Conflicting Investments

hedge fund

Investment Advisers, Litigation, Private Equity JH Partners, LLC, a private equity sponsor, recently agreed to settle SEC charges.  According to the SEC the proceedings arose from negligent breaches of fiduciary duty by JHP, an investment adviser to several private equity funds (the “Funds”). According to the SEC: From at least 2006 to 2012, JHP and certain of its principals loaned […] Read more →

by   |   November 25, 2015


“Recidivist” Custody Rule Violators Settle SEC Charges

Investment Advisers, Litigation, Private Equity The SEC announced that an investment advisory firm, two owners, and a former chief compliance officer have agreed to settle charges that the firm again violated the custody rule... Read more →

by   |   November 19, 2015


SEC Charges Private Equity Sponsor for Failure to Disclose Conflicted Transactions

Investment Advisers, Litigation, Private Equity The SEC announced that New York-based private equity firm Fenway Partners LLC and four executives have agreed to settle charges that they failed to disclose conflicts of interest... Read more →

by   |   November 5, 2015

crowdfunding arrow

Get Ready for Crowdfunding

Broker-Dealer, Private Equity The SEC is expected to vote today to approve final rules to implement Title III of the JOBS Act, which will permit so-called equity crowdfunding for the first time. It has been... Read more →

by   |   October 30, 2015