Αποτελέσματα Αναζήτησης
2 ημέρες πριν · The list below provides links to litigation releases concerning civil actions brought by the Commission in federal court.
14 Αυγ 2024 · The Securities and Exchange Commission today announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications.
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 · The private equity firm and the executives, including principals Peter Lamm, William Gregory Smart and former principal Timothy Mayhew, were not "fully forthcoming" to a client and investors about...
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.
25 Νοε 2015 · Fenway Partners served as an investment adviser to a private equity fund called Fenway Partners Capital Funds III, L.P. ("Fund III"), for which services Fund III paid Fenway Partners an advisory fee.
To settle the SEC’s charges without admitting or denying the order’s findings, Fenway Partners, Lamm, Smart, and Mayhew agreed to jointly and severally pay disgorgement of $7.89 million and prejudgment interest of $824,471.10.
