Fund Matters

We have experience representing sponsors, funds and investors in a wide variety of litigation, regulatory and governance matters related to private equity funds, mutual funds, hedge funds, and other private funds.  We regularly work alongside fund counsel in matters where it is advisable or preferable to have separate litigation or regulatory counsel.  Our fund-related experience includes:

  • Excessive fee allegations and resulting lawsuits
  • SEC fund examinations
  • Internal investigations involving fund governance, code of conduct issues, and other internal matters
  • Post-closing indemnification and purchase price adjustment disputes and arbitration 
  • Disputes, litigation and regulatory matters involving portfolio company matters
  • Regulatory subpoenas and inquiries
  • Litigation analysis and valuation assessments pertinent to investment decisions
  • Due diligence of litigation matters

 Examples of our work:

  • Prevailed in an "excessive fee" investor class action under Section 36(b) of the Investment Company Act brought against the Investment Adviser of a San Francisco-based mutual fund complex. 
  • Assisted in preparing a San Francisco-based investment adviser with its first ever examination by the SEC's office of compliance and inspections.
  • Represented a mutual fund adviser in connection with multiple internal investigations surrounding suspected employee breaches of the firm's code of conduct and other internal compliance guidelines.
  • Represented private equity firms (as buyers and sellers) in connection with multiple accounting disagreements as part of post-close indemnification and purchase price adjustment disputes, including several resolved by an arbitration of accounting issues.
  • Represented multiple private equity firms in connection with regulatory matters, employment disputes, and commercial litigation matters impacting portfolio companies.
  • Represented hedge funds in connection with analysis of merits and damages of lawsuits with potential to materially impact valuation of hedge fund investments or potential investments.
  • Represented multiple private equity firms in connection with M&A due diligence related to the litigation portfolio of target companies.


Kaufhold Gaskin Gallagher LLP would be pleased to discuss your legal issue by phone or in person. Send us a message and one of our attorneys will respond to set up an appointment.