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Breach of Contract › Private Placements

Troutman Pepper

Fiduciary Duty Of Disclosure Does Not Apply To Individual Transactions With Equityholders

Troutman Pepper on

In Dohmen v. Goodman, the Delaware Supreme Court declined to impose an affirmative fiduciary duty of disclosure on a general partner arising out of the general partner’s solicitation of capital contributions from a limited...more

Broker-Dealer Compliance + Regulation

SEC Sanctions Adviser for Failing to Inform ERISA Clients of Improper Investment Allocation

Broker-Dealer Compliance + Regulation on

The Securities and Exchange Commission sanctioned an investment adviser for allowing some of its ERISA plan clients to invest in private placements, even though the issuer specifically restricted investments by ERISA plans. ...more

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