Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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SEC Busts Apollo for Disclosure and Supervisory Failures

The SEC charged four private equity fund advisers affiliated with Apollo Global Management for misleading fund investors about fees and a loan agreement and failing to supervise a senior partner who charged personal expenses...more

8/23/2016 - Enforcement Actions Fees Investment Adviser Investment Advisers Act of 1940 Loan Agreements Private Equity Funds SEC Securities Violations

SEC Nabs Private Equity Sponsor for Conflicting Investments

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...more

11/30/2015 - Breach of Duty Fiduciary Duty Investment Fraud Private Equity Funds SEC

SEC Chair White Complains of Poor Hedge Fund and Private Equity Practices

SEC Chair Mary Jo White recently delivered pointed remarks to a conference attended by hedge fund and private equity advisors. One portion of her remarks was directed at operational risks of private funds, such as...more

10/22/2015 - Fiduciary Duty Financial Institutions Financial Markets Hedge Funds Investment Adviser Investment Portfolios OCIE Private Equity Private Equity Funds Private Funds SEC

SEC Begins Publishing Statistics on Hedge Funds and Private Equity Advisors

The SEC published a report that provides private fund industry statistics and trends, reflecting aggregated data reported by private fund advisers on Form ADV and Form PF. Most of the data in the more than 50 separate tables...more

10/19/2015 - Derivatives Financial Institutions Hedge Funds Investment Investment Adviser Investment Portfolios Investors Portfolio Managers Private Equity Private Equity Funds Private Funds SEC Trading Platforms

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 Charges Private Equity Fund Manager With Misleading Investors About Valuation And Performance

The SEC has charged a former portfolio manager at Oppenheimer & Co. with misleading investors about the valuation and performance of a fund consisting of other private equity funds. ...more

8/21/2013 - Dodd-Frank Enforcement Actions Fund Managers Oppenheimer & Co. Private Equity Funds SEC

SEC Considering Changes To Advertising Rules By Hedge Funds And Private Equity

Norm Champ, Director, SEC Division of Investment Management, recently noted that SEC rules prohibit certain advertisements by registered advisers. Mr. Champ noted the SEC has heard from advisers to private funds,...more

3/13/2013 - Advertising Hedge Funds JOBS Act Private Equity Funds SEC

SEC Charges Private Equity Fund Advisers With Misleading Investors About Valuation And Performance

The SEC has charged two investment advisers at Oppenheimer & Co. with misleading investors about the valuation policies and performance of a private equity fund they manage. The SEC recently hinted at potential increased...more

3/12/2013 - Broker-Dealer Investment Adviser Private Equity Funds SEC Valuation

SEC Finding Some Hedge Funds And Private Equity Groups Are Not Complying With Custody Rule

The SEC has issued a Risk Alert on compliance with its custody rule for investment. It notes that with respect to advisers to audited pooled investment vehicles, its examinations found some failed to meet requirements to...more

3/5/2013 - Audits Custody Rule GAAP Hedge Funds Investment Fund Vehicles PCAOB Private Equity Funds SEC

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