BOSTON MANAGEMENT AND RESEARCH of BOSTON, MA is an SEC-registered investment adviser (CRD 104853). Regulatory assets under management: $154.7B.
Compensation: % of AUM, Other.
Clients served: Charities, Investment cos.
Showing 25 of 58 people.
| Name | Role | Location |
|---|---|---|
| Benjamin Cordt Huneke | CHIEF EXECUTIVE OFFICER & PRESIDENT | New York, NY |
| RUSS CRAIG | TRUSTEE | MONROVIA, CA |
| Lisa Buhain Winslow | CHIEF ADMINISTRATIVE OFFICER & VICE PRESIDENT | — |
| Laura T Donovan | CHIEF COMPLIANCE OFFICER & VICE PRESIDENT | — |
| Richard Francis Froio | CHIEF COMPLIANCE OFFICER & VICE PRESIDENT | — |
| WALSH JOHN E | HEAD OF EATON VANCE LEGAL | — |
| RICHARDSON ROSS WILLIAM | EXECUTIVE VP AND CHIEF EQUITY INVESTMENT OFFICER; TRUSTEE | — |
| WHELAN VINCENT JOSEPH | TRUSTEE; VICE PRESIDENT, TREASURER, CFO | — |
| PELLETIER JOHN EDGAR | VICE PRESIDENT, CLO | — |
| WITKOS MATTHEW JOSEPH | TRUSTEE | — |
| LEE STEPHEN THOMAS | TRUSTEE | — |
| STEIN DAVID MORRIS | TRUSTEE | — |
| LANGSTRAAT BRIAN DEAN | TRUSTEE | — |
| FAUST JR THOMAS E | CEO, PRESIDENT; CHIEF EQUITY INVESTMENT OFFICER, EXECUTIVE VICE PRESIDENT; CHIEF INVESTMENT OFFICER, EXECUTIVE VICE PRESIDENT (+2 more) | — |
| HAWKES JAMES BENJAMIN | CEO; CEO, PRESIDENT; TRUSTEE | — |
| WILLIAMS RAY KELLY | TRUSTEE | — |
| BEALE JEFFREY PAUL | CHIEF ADMINISTRATIVE OFFICER, VICE PRESIDENT; TRUSTEE | — |
| DYNNER ALAN ROY | CLO, VICE PRESIDENT, SECRETARY; TRUSTEE | — |
| STEUL WILLIAM MARTIN | CFO, TREASURER, VICE PRESIDENT; TRUSTEE | — |
| O'NEIL PAUL | CCO, VICE PRESIDENT; CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | — |
| PAGE SCOTT HAMMOND | TRUSTEE | — |
| SWAFFIELD PAYSON FREDERICK | TRUSTEE | — |
| WEILHEIMER MICHAEL WILLIAM | TRUSTEE | — |
| CLEMSON CYNTHIA J | TRUSTEE | — |
| MACH MICHAEL ROBERT | TRUSTEE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-03-06 | regulatory | THE HELLENIC CAPITAL MARKET COMMISSION (HCMC) ALLEGED THAT MORGAN STANLEY COMMITTED MARKET MANIPULATION PURSUANT TO ARTICLE 7, PAR. 2(C) OF LAW 3340/2005 BY DISCLOSING THAT THE FIRM, THROUGH VARIOUS SUBSIDIARIES, HAD ACQUIRED MORE THAN 5% OF ALPHA BANK, HOWEVER 4.16% OF THE HOLDING WAS HELD BY A SUB… | Final | $53K |
| 2016-03-22 | regulatory | THE PORTUGUESE SECURITIES MARKET COMMISSION (CMVM) ALLEGED THAT THE FIRM DID NOT NOTIFY THE CMVM OR THE ISSUING COMPANY OF CHANGES TO CERTAIN QUALIFYING HOLDINGS WITHIN THE REQUIRED TIME PERIOD, IN VIOLATION OF ARTICLE 16 OF THE PORTUGUESE SECURITIES CODE | Final | — |
| 2016-02-11 | regulatory | RMBS | Final | $22.5M |
| 2016-02-11 | regulatory | THE NEW YORK ATTORNEY GENERAL'S OFFICE ("NYAG") ALLEGED THAT MORGAN STANLEY VIOLATED NEW YORK LAW IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGE-BACKED SECURITIES BETWEEN 2006 AND 2007. | Final | $150.0M |
| 2014-08-21 | regulatory | HCMC ALLEGED THAT MS FAILED TO PROPERLY OR TIMELY REPORT WHEN MS HOLDINGS IN CERTAIN COMPANIES INCREASED OR DECREASED BY MORE THAN 3%, OR EXCEEDED OR FELL BELOW 5%, 10% AND 15% THRESHOLDS, AS REQUIRED BY GREEK PRESIDENTIAL DECREE PD 51/1992 AND LAW 3556/2007. | Final | $94K |