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3 Νοε 2015 · An SEC investigation found that Fenway Partners LLC, principals Peter Lamm and William Gregory Smart, former principal Timothy Mayhew Jr., and chief financial officer Walter Wiacek weren’t fully forthcoming to the client and investors about several transactions involving more than $20 million in payments out of fund assets or portfolio ...
Each Limited Partner committed to contribute a specified amount of capital to Fund III – to be drawn pursuant to periodic capital calls issued by Fenway Partners, on behalf of Fund III – to invest in Portfolio Companies during the fund’s investment period, which began in 2006 and lasted six years.
3 Νοε 2015 · Private-equity firm Fenway Partners, its CFO, and three other executives have agreed to pay $10.2 million to settle charges they failed to disclose conflicts of interests arising out of transactions with an affiliated consulting company.
Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings".
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3 Νοε 2015 · The payments, which had come from assets or companies owned by a private equity fund run by Fenway, were made to a Fenway affiliate and former Fenway employees, the SEC said. Neither...
4 Νοε 2015 · The SEC alleged that the principals of Fenway Partners failed to disclose the conflict of interest created by the assumption of the portfolio company services agreements by Fenway Consulting, as well as the corresponding loss of the advisory fee offset, as required by the governing documents of Fund III and in breach of Fenway Partners ...
