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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 ...
2 Ιουλ 2024 · Search Filings. Enjoy free public access to millions of informational documents filed by publicly traded companies and others in the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.
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.
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".
5 Νοε 2015 · To settle, Fenway Partners, Mayhew, Smart, and Lamm are agreeing to disgorgement of over $7.9M and pay prejudgment interest of over $800K. Along with Wiacek they consented to pay $1.525 in penalties. Over $10M will go to a fund for investors that sustained harm.
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.
10 Οκτ 2024 · An SEC investigation can take two forms: formal or informal. An informal investigation can take two to three months and can lead to a formal investigation that can last for years. In most cases, investigations are informal—or at least they begin as informal.
