KAHN BROTHERS ASSET MANAGEMENT CORP of NEW YORK, NY is an SEC-registered investment adviser (CRD 105620). Regulatory assets under management: $18.5M.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Thomas Graham Kahn | CHAIRMAN, PRESIDENT, ASST. SECRETARY, CHIEF COMPLIANCE OFFICER,TREASURER, SHAREHOLDER & DIRECTOR | New York, NY |
| Andrew S Kahn | SENIOR VICE-PRESIDENT & DIRECTOR | — |
| Phyllis Kahn | STOCKHOLDER | — |
| KAHN IRVING | CHAIRMAN & DIRECTOR; HONORARY CHAIRMAN & DIRECTOR | — |
| KAHN THOMAS GRAHAM | CHAIRMAN, PRESIDENT, ASST. SECRETARY, CHIEF COMPLIANCE OFFICER, TREASURER & SHAREHOLDER; CHAIRMAN, PRESIDENT, ASST. SECRETARY, CHIEF COMPLIANCE OFFICER,TREASURER, SHAREHOLDER & DIRECTOR; PRESIDENT,EXEC. VP, SECRETARY, CHIEF COMPLIANCE OFFICER & TREASURER (+2 more) | — |
| KAHN DONALD WILLIAM | CHAIRMAN, DIRECTOR& SHAREHOLDER; DIRECTOR; DIRECTOR& SHAREHOLDER | — |
| DELUCA WILLIAM FRANCIS | VICE PRESIDENT; VICE PRESIDENT & SECRETARY | — |
| KAHN JONATHAN S | SENIOR VICE-PRESIDENT & DIRECTOR; VICE-PRESIDENT & DIRECTOR | — |
| KAHN Phyllis | OWNER; STOCKHOLDER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-06-06 | regulatory | ON JUNE 6, 2022 KAHN BROTHERS ADVISORS AND THOMAS KAHN AGREED TO A SETTLEMENT WITH THE SEC THROUGH AN ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS IN WHICH THE PARTIES DID NOT ADMIT OR DENY A NARRATIVE OF EVENTS CONCERNING AGGREGATION, DISCLOSURE AND PROCEDURES RELATED TO CLIENTS BROKERING WITH AN A… | Final | $250K |