Αποτελέσματα Αναζήτησης
The Securities and Exchange Commission settled charges on Tuesday with Fenway Partners LLC, principals Peter Lamm and William Gregory Smart, former principal Timothy Mayhew Jr., and chief...
3 Νοε 2015 · 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 by one of...
3 Νοε 2015 · In the Matter of Fenway Partners, LLC, Peter Lamm, William Gregory Smart, Timothy Mayhew, Jr., and Walter Wiacek, CPA Administrative Proceeding File No.: 3-16938 Case filed: November 3, 2015 Qualifying Judgment/Order: November 3, 2015
5 Νοε 2015 · The SEC says that Fenway Partners, principals William Gregory Smart and Peter Lamm, CFO Walter Wiacek, and ex-principal Timothy Mayhew Jr. did not fully disclose to the client and investors that a number of transactions involving over $20M in payments had come out of portfolio companies or fund assets.
3 Νοε 2015 · Respondents Fenway Partners, Lamm and Smart also made, and Respondent Wiack made or caused to be made, material omissions to investors concerning the cash incentive plan payments. The Order alleges violations of Advisers Act Sections 206 (2) and 206 (4).
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.
