Αποτελέσματα Αναζήτησης
Respondent Fenway Partners, LLC (“Fenway Partners”), is a private equity fund adviser that was owned and controlled by respondents Peter Lamm (“Lamm”) and William Gregory Smart (“Smart”) between January 1, 2011 and December 31, 2013 (“Relevant Period”), and Timothy Mayhew, Jr. (“Mayhew”) between January 1, 2011 and May 31, 2012.
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 ...
3 Νοε 2015 · (Reuters) - New York-based Fenway Partners LLC and four executives will pay a total of more than $10.2 million to settle charges that they failed to tell investors about payments to employees...
2 Ιουλ 2024 · Find keywords and phrases in more than 20 years of EDGAR filings, and filter by date, company, person, filing category, or location. View a listing of real-time filings as they are submitted into the EDGAR system. Also view daily filings by form type within the past week.
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".
10 Οκτ 2024 · Triggers that can lead to an SEC investigation. No public company is immune from an SEC investigation. Even the best-run company can be subject to negative press, a disgruntled employee, unsupported claims by a class action lawyer or swings in the market price of its stock. Below are some triggers that can lead to an SEC investigation:
