SANFORD C. BERNSTEIN & CO., LLC of NASHVILLE, TN is an SEC-registered investment adviser (CRD 104474). Regulatory assets under management: $1.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance, Commissions, Subscription, Other.
Clients served: Investment cos.
Showing 25 of 34 people.
| Name | Role | Location |
|---|---|---|
| Gary Michael Krueger | CHIEF FINANCIAL OFFICER AND DIRECTOR | — |
| Richard Edward Meyers | CHIEF EXECUTIVE OFFICER | — |
| Steven Michael Eisenberg | HEAD OF BUSINESS DEVELOPMENT | — |
| Daniel Eugene Wright | CHIEF COMPLIANCE OFFICER | — |
| Keith Andrew Purcell | PRINCIPAL OPERATIONS OFFICER | — |
| EISENBERG LEWIS MICHAEL | HEAD OF BUSINESS DEVELOPMENT | — |
| SANDERS LEWIS ALAN | DIRECTOR; DIRECTOR & CHAIRMAN | — |
| LIEBERMAN GERALD M | DIRECTOR; DIRECTOR & CHIEF FINANCIAL OFFICER | — |
| MAYER MARC ORLANS | DIRECTOR & CHIEF EXECUTIVE OFFICER | — |
| HEXNER THOMAS STEVEN | DIRECTOR | — |
| SHALETT LISA A | CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR | — |
| FARRELL PATRICK JOSEPH | DIRECTOR & CHIEF FINANCIAL OFFICER | — |
| BORGOGELLI DONNA | SROP & CROP | — |
| MARTIN ALAN DAVID | SENIOR VICE PRESIDENT, HEAD OF RISK MANAGEMENT AND DIRECTOR | — |
| SPENCER EDWARD JOHN | PRESIDENT; PRESIDENT & DIRECTOR | — |
| GINGRICH JAMES A | CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR | — |
| BORGIA MICHAEL THOMAS | DIRECTOR IN CHARGE OPERATIONS & SENIOR VICE PRESIDENT; DIRECTOR OF OPERATIONS & SENIOR VICE PRESIDENT | — |
| BERTAN LAURENCE HUGH | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER & VICE PRESIDENT; CO-CHIEF COMPLIANCE OFFICER (+1 more) | — |
| DEBELLIS JOSEPH FRANCIS | CO-CHIEF COMPLIANCE OFFICER; SROP & CROP | — |
| WRIGHT DANIEL EUGENE | CHIEF COMPLIANCE OFFICER; CO-CHIEF COMPLIANCE OFFICER | — |
| CARIFA JOHN DONATO | DIRECTOR | — |
| KRAWCHECK SALLIE LEE | CHAIRMAN AND CHIEF EXECUTIVE OFFICER; CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR | — |
| TAGGART RICHARD GREGG | SVP - GLOBAL HEAD OF OPERATIONS; SVP - GLOBAL HEAD OF OPERATIONS AND DIRECTOR | — |
| LAMKE JAMES DANIEL | CO-CHIEF COMPLIANCE OFFICER | — |
| PATRIZIO LAWRENCE PASQUALE | SENIOR VICE PRESIDENT, GLOBAL HEAD OF BROKER DEALER OPERATIONS AND DIRECTOR | — |
Showing 10 of 20 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-08-09 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTION AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ADEQUATELY DOCUMENT SUPERVISORY SYSTEMS AND KEEP CURRENT WRITTEN COMPLIANCE AND SUPERVISORY POLICIES AND PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RECORDKEEPIN… | Final | $4K |
| 2020-09-08 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ACCURATELY RECORD THE ORDER RECEIPT AND ORDER TRANSMISSION TIMES OF MANUAL OPTIONS ORDERS IT HAD ROUTED TO FLOOR BROKERS AT NYSE AMERICAN AND VARIOUS OTHER NATIONAL SECURITIE… | Final | $28K |
| 2020-01-13 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, SANFORD C. BERNSTEIN & CO., LLC ("SCB" OR THE "FIRM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS, THAT SCB SUBMITTED MILLIONS OF TRANSACTIONS WITH DISCONTINUED ACCOUNT TYPE INDICATOR ("ATIS") FOR COMPARISON AND/OR SETTLEMENT. IN ADDITION, THE F… | Final | $100K |
| 2017-08-29 | regulatory | DURING THE PERIODS OF OCTOBER 1, 2014 THROUGH MARCH 31, 2015, AND JULY 1, 2015 THROUGH SEPTEMBER 30, 2015, THE FIRM EXPERIENCED FIVE SYSTEM PROBLEMS THAT CAUSED THE FIRM TO ROUTE APPROXIMATELY 2,404 INTERMARKET SWEEP ORDERS (ISOS) TO MARKET CENTERS WITHOUT ROUTING ADDITIONAL ISOS TO ONE OR MORE PROT… | Final | $7K |
| 2017-08-29 | regulatory | DURING THE PERIODS OF OCTOBER 1, 2014 THROUGH MARCH 31, 2015, AND JULY 1, 2015 THROUGH SEPTEMBER 30, 2015, THE FIRM EXPERIENCED FIVE SYSTEM PROBLEMS THAT CAUSED THE FIRM TO ROUTE APPROXIMATELY 2,404 INTERMARKET SWEEP ORDERS (ISOS) TO MARKET CENTERS WITHOUT ROUTING ADDITIONAL ISOS TO ONE OR MORE PROT… | Final | $9K |
| 2017-08-29 | regulatory | DURING THE PERIODS OF OCTOBER 1, 2014 THROUGH MARCH 31, 2015, AND JULY 1, 2015 THROUGH SEPTEMBER 30, 2015, THE FIRM EXECUTED ONE ORDER INTERNALLY BY TRADING AS PRINCIPAL OR CROSSING THE ORDER AS AGENT, THUS ACTING AS A TRADING CENTER, BUT FAILED TO SIMULTANEOUSLY SEND INTERMARKET SWEEP ORDERS (ISOS)… | Final | $6K |
| 2016-06-23 | regulatory | DURING THE PERIOD OF MAY 1, 2013 THROUGH DECEMBER 2, 2015 (THE "RELEVANT PERIOD"), SANFORD C. BERNSTEIN & CO. LLC ("BERNSTEIN" OR "THE FIRM") VIOLATED NYSE AMERICAN RULE 341(A) BY ALLOWING AN EMPLOYEE TO ACT AS A SUPERVISOR AND GENERAL SECURITIES PRINCIPAL WITHOUT THE REQUIRED SECURITIES PRINCIPAL Q… | Final | $5K |
| 2016-06-23 | regulatory | DURING THE PERIOD OF MAY 1, 2013 THROUGH DECEMBER 2, 2015 (THE "RELEVANT PERIOD"), SANFORD C. BERNSTEIN & CO. LLC ("BERNSTEIN" OR "THE FIRM") VIOLATED EDGX RULE 2.3(C) FOR THE PERIOD MAY 1, 2013 THROUGH FEBRUARY 16, 2015 AND 2.5, INTERPRETATION .01(D) FOR THE PERIOD OF FEBRUARY 17, 2015 THROUGH DECE… | Final | $5K |
| 2016-06-23 | regulatory | DURING THE PERIOD OF MAY 1, 2013 THROUGH DECEMBER 2, 2015 (THE "RELEVANT PERIOD"), SANFORD C. BERNSTEIN & CO. LLC ("BERNSTEIN" OR "THE FIRM") VIOLATED EDGA RULE 2.3(C) FOR THE PERIOD MAY 1, 2013 THROUGH FEBRUARY 16, 2015 AND 2.5, INTERPRETATION .01(D) FOR THE PERIOD OF FEBRUARY 17, 2015 THROUGH DECE… | Final | $5K |
| 2016-06-23 | regulatory | DURING THE PERIOD OF MAY 1, 2013 THROUGH DECEMBER 2, 2015 (THE "RELEVANT PERIOD"), SANFORD C. BERNSTEIN & CO. LLC ("BERNSTEIN" OR "THE FIRM") VIOLATED BZX RULE 2.5, INTERPRETATION .01(D) BY ALLOWING AN EMPLOYEE TO ACT AS A SUPERVISOR AND GENERAL SECURITIES PRINCIPAL WITHOUT THE REQUIRED SECURITIES P… | Final | $5K |