Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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SEC Charges Private Equity Advisor with Conflicts for Law Firm Discounts

In a settled enforcement action, the SEC charged a private equity advisor, First Reserve Management, L.P., with conflicts of interest and other matters. First Reserve did not admit or deny the SEC’s findings....more

9/16/2016 - Conflicts of Interest Discounts Enforcement Actions Investment Adviser Investment Funds Legal Fees Private Equity SEC Securities Violations

SEC Brings First Ever Charges Against Municipal Advisors

The SEC charged Kansas-based Central States Capital Markets, its CEO, and two employees for breaching their fiduciary duty by failing to disclose a conflict of interest to a municipal client. The case is the SEC’s first to...more

3/15/2016 - Breach of Duty Conflicts of Interest Dodd-Frank Enforcement Actions Fiduciary Duty MSRB Municipal Advisers SEC

SEC Charges Private Equity Sponsor for Failure to Disclose Conflicted Transactions

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 to a fund client and investors when fund and...more

11/9/2015 - Administrative Proceedings Conflicts of Interest Failure To Disclose SEC Transaction Reporting

Portfolio Monitoring and Legal Fees Subject to SEC Enforcement Action Against Private Equity Group

The SEC announced that three private equity fund advisers within The Blackstone Group have agreed to pay nearly $39 million to settle charges that they failed to fully inform investors about benefits that the advisers...more

10/12/2015 - Breach of Duty Conflicts of Interest Enforcement Actions Fiduciary Duty Initial Public Offerings Investment Investment Adviser Investment Portfolios Investors IPO Legal Fees Portfolio Managers Private Equity Private Equity Funds SEC

SEC Exams to Focus on Sales of Retirement Products

The SEC Office of Compliance Inspections and Examinations, or OCIE, has launched a multi-year Retirement-Targeted Industry Reviews and Examinations (ReTIRE) Initiative. OCIE is focusing on retirement-based savings in...more

6/23/2015 - Broker-Dealer Conflicts of Interest Disclosure Requirements Examination Priorities Investment Adviser Investors Marketing Material Disclosures OCIE Retirement Plan SEC

Director Equity Grants Subject to Entire Fairness Review

In Valma v. Templeton et al, the Delaware Court of Chancery held that grants of restricted stock units, or RSUs, to directors of Citrix Systems, Inc. were subject to an entire fairness standard of review. The court found...more

5/1/2015 - Board of Directors Business Judgment Rule Compensation Committee Conflicts of Interest Equity Compensation Fairness Standard Restricted Stocks

SEC Issues Credit Rating Agency Independence Study – No Changes Necessary

The staff of the Office of Credit Ratings of the SEC has submitted a study under Section 939C of the Dodd-Frank Wall Street Reform and Consumer Protection Act to the Committee on Banking, Housing, and Urban Affairs of the...more

11/22/2013 - Conflicts of Interest Credit Ratings Dodd-Frank Rating Agencies SEC

SEC Enforcement Official Hints At Increased Actions Against Private Equity

Bruce Karpati, Chief, of the SEC Enforcement Division’s Asset Management Unit, recently gave his views on certain matters related to private equity....more

1/24/2013 - Conflicts of Interest Private Equity SEC

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