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Investment Adviser › Legal Fees

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The DOL Rolls Over, Fiduciary Rule Effectively Dead

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

The Department of Labor (DOL) said it’s not going to pursue enforcement actions against investment advice fiduciaries “who are working diligently and in good faith to comply” with requirements of the fiduciary rule that was...more

Stinson - Corporate & Securities Law Blog

SEC Charges Private Equity Advisor with Conflicts for Law Firm Discounts

Stinson - Corporate & Securities Law Blog on

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

Stinson - Corporate & Securities Law Blog

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

Stinson - Corporate & Securities Law Blog on

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

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