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.
- SEC Charges Private Equity Firm and Four Executives With Failing to ...
An SEC investigation found that Fenway Partners LLC,...
- SEC Charges Private Equity Firm and Four Executives With Failing to ...
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.
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...
24 Σεπ 2024 · The SEC’s investigations into Stifel, CIBC, Intesa, Canaccord, Alpaca, and Qatalyst were conducted by Laurel S. Fensterstock, Karolina Klyuchnikova, Austin Thompson, and Alison R. Levine. The SEC’s investigation into Focused Wealth was conducted by Bennett Ellenbogen and Michael Paley.
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...
An investigation by the Securities and Exchange Commission (SEC) 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 ...
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 ...
