Αποτελέσματα Αναζήτησης
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 ημέρες πριν · The list below provides links to litigation releases concerning civil actions brought by the Commission in federal court.
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...
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 ...
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.
5 Νοε 2015 · The SEC has brought its first-ever enforcement action against a private equity adviser and four firm executives for failing to disclose conflicts of interest relating ...
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...
