BARINGS LLC of CHARLOTTE, NC is an SEC-registered investment adviser (CRD 106006). Regulatory assets under management: $392.8B.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos.
Showing 25 of 77 people.
| Name | Role | Location |
|---|---|---|
| Bradley Gordon Finkle | CHIEF OPERATING OFFICER | — |
| Paul Anthony Lapiana | DIRECTOR | — |
| Jill Elyse Dinerman | ASSISTANT SECRETARY | — |
| Rhian Catrin Williams | SECRETARY | — |
| Sheldon Maurice Francis | CHIEF ADMINISTRATIVE OFFICER | — |
| Roger William Crandall | DIRECTOR, HUMAN RESOURCE COMMITTEE | — |
| Geoffrey James Craddock | DIRECTOR, AUDIT COMMITTEE | — |
| Michael David Freno | CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD OF MANAGERS, AND DIRECTOR; PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD OF MANAGERS, AND DIRECTOR | — |
| Patrick Louis Hoefling | CHIEF FINANCIAL OFFICER | — |
| Chrisoffel C Cary | TREASURER | — |
| Michael James O'Connor | DIRECTOR, AUDIT COMMITTEE | — |
| Sears Andrew Merritt | DIRECTOR | — |
| Susan Marie Cicco | DIRECTOR, HUMAN RESOURCE COMMITTEE | — |
| Eric James Lloyd | PRESIDENT; VICE CHAIRMAN | — |
| Eric William Partlan | DIRECTOR | — |
| Melissa Marie Lagrant | CHIEF COMPLIANCE OFFICER | — |
| Meredith Anne Hunter | ASSISTANT SECRETARY | — |
| Mary Jane Bartolotta Fortin | DIRECTOR | — |
| THOMPSON DAVID JOHN | CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER AND MANAGING DIRECTOR; CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, HEAD OF GLOBAL INVESTMENT SERVICES AND MANAGING DIRECTOR; CHIEF OPERATING OFFICER AND MANAGING DIRECTOR | — |
| BRENNAN DAVID J | MEMBER OF THE BOARD OF MANAGERS AND VICE CHAIRMAN | — |
| CORBETT M TIMOTHY | DIRECTOR, AUDIT COMMITTEE; MEMBER OF THE BOARD OF MANAGERS | — |
| ROBBINS JOHN FRANKLYN | CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR | — |
| HARGREAVES KENNETH LEWIS | MANAGING DIRECTOR | — |
| MARDER EFREM | MANAGING DIRECTOR | — |
| CRANDALL ROGER WILLIAM | DIRECTOR; DIRECTOR, HUMAN RESOURCE COMMITTEE; DIRECTOR, MANAGING DIRECTOR (+7 more) | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-03-31 | regulatory | IT WAS ALLEGED THAT MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY'S PRACTICES AND PROCEDURES DID NOT COMPLY WITH STATUTORY AND REGULATORY PROVISIONS: 18 DEL ADMIN. C.?1203-4.0 LIFE INSURANCE SOLICITATION DEFINITIONS; 18 DEL. ADMIN C. ?1204-5.2 DUTIES OF AGENTS AND BROKERS; 18 DEL. C. ?1204.7.1 DUTIES… | Final | $134K |
| 2022-05-26 | regulatory | MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY MUST CERTIFY ANNUALLY TO THE OFFICE OF THE INSURANCE COMMISSIONER ("OIC") THE INSURANCE PRODUCERS THAT ARE SELLING, SOLICITING OR NEGOTIATING THE COMPANY'S LONG TERM CARE ("LTC") INSURANCE PRODUCTS HAVE COMPLETED LTS REQUIREMENTS. THE CERTIFICATION IS REQU… | Final | $10K |
| 2022-04-12 | regulatory | IN 2003 THE INSURED PURCHASED A FLEXIBLE PREMIUM ADJUSTABLE LIFE INSURANCE POLICY WITH A FACE AMOUNT $500,000. IT WAS ALLEGED THAT MASSMUTUAL RAISED THE PREMIUMS AND CHANGED AND CANCELLED THE POLICY WITHOUT NOTIFYING THE INSURED. THE INSURED FURTHER ALLEDGED THAT THE AGENT DID NOT EXPLAIN THAT THE P… | Final | $1K |
| 2017-10-03 | regulatory | THE STATE OF CONNECTICUT INSURANCE DEPARTMENT CONDUCTED A MARKET CONDUCT EXAMINATION FOR THE PERIOD JANUARY 1, 2014 THROUGH DECEMBER 31, 2016 OF MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY ("MASSMUTUAL"). MASSMUTUAL IS THE PARENT OF MML INVESTMENT ADVISERS, LLC. AT THE CONCLUSION OF THE EXAMINATION,… | Final | $61K |
| 2013-10-17 | regulatory | HUD ALLEGED THAT MASSMUTUAL FAILED TO SUBMIT (1) AUDITED FINANCIAL STATEMENTS AND SUPPLEMENTARY REPORTS; (2) THE ANNUAL RECERTIFICATION FEE; (3) THE CALL REPORTS; AND (4) THE ONLINE CERTIFICATION (COLLECTIVELY THE "ANNUAL RECERTIFICATION REQUIREMENTS") WITHIN 90 DAYS OF THE CLOSE OF THE FISCAL YEAR… | Final | $8K |
| 2012-04-20 | regulatory | THE COMMONWEALTH OF VIRGINIA, BUREAU OF INSURANCE (THE "BUREAU") ALLEGED THAT MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY ("MASSMUTUAL") VIOLATED SUBSECTIONS 38.2-502(1) AND 14 VAC 5-40-40(A)(1) AND (A)(4), MARKETING COMMUNICATION STANDARDS AND REQUIREMENTS OF THE COMMONWEALTH OF VIRGINIA STATE CORP… | Final | $4K |
| 2012-01-01 | regulatory | THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES ("DFS") COMMENCED AN INVESTIGATION FOR THE PERIOD OF 1/1/2012-5/31/2018. DURING ITS INVESTIGATION, DFS IDENTIFIED A PRACTICE ARISING FROM THE REPLACEMENT OF DEFERRED ANNUITY CONTRACTS WITH IMMEDIATE INCOME ANNUITY CONTRACTS IN VIOLATION OF THE DISC… | Final | $692K |