UBS ASSET MANAGEMENT (AMERICAS) LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 106838). Regulatory assets under management: $588.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Pensions, Charities, Investment cos.
Showing 25 of 74 people.
| Name | Role | Location |
|---|---|---|
| Stephen Murphy | HEAD OF INSTITUTIONAL CLIENT COVERAGE AMERICAS | New York, NY |
| Joseph Azelby | HEAD OF INVESTMENTS, HEAD OF REAL ESTATE AND PRIVATE MARKETS | New York, NY |
| Barry John Gill | GLOBAL HEAD OF INVESTMENTS; HEAD OF INVESTMENTS | — |
| Ian Ross Mcintosh | HEAD OF INVESTMENTS, ACTIVE EQUITIES | — |
| James Poucher | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER | — |
| Craig Garret Ellinger | HEAD OF AMERICAS FIXED INCOME | — |
| Philip David Stacey | CHIEF LEGAL OFFICER | — |
| Meggan Kinum Zabel | HEAD OF INVESTMENTS BUSINESS MANAGEMENT AND MANAGER | — |
| Michael James Rongetti | MANAGER | — |
| Peter Gyr | CHIEF COMPLIANCE OFFICER | New York, NY |
| John Gerard Popp | HEAD OF INVESTMENTS, CREDIT INVESTMENTS GROUP | — |
| David Blake Hiltabrand | HEAD OF INVESTMENTS, O'CONNOR | — |
| Edoardo Rulli | HEAD OF INVESTMENTS, HEDGE FUND SOLUTIONS | — |
| Ralph Mattone | CHIEF FINANCIAL OFFICER | — |
| Charles Leroy Bragg | CHIEF RISK OFFICER | — |
| POPP JOHN GERARD | HEAD OF INVESTMENTS, CREDIT INVESTMENTS GROUP | — |
| MOORE EDWARD BLAKE | PRESIDENT AND DIRECTOR | — |
| DIERMEIER JEFFREY JAMES | CHIEF INVESTMENT OFFICER | — |
| MULLEN BARRY JOHN | CHIEF COMPLIANCE OFFICER | — |
| KEMPER MARK FREDERICK | CHIEF LEGAL OFFICER; SECRETARY; SECRETARY AND CHIEF LEGAL OFFICER (+2 more) | — |
| MCGILL JOSEPH MICHAEL | CHIEF COMPLIANCE OFFICER | — |
| MOORE JOHN CYRIL | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND DIRECTOR | — |
| SINGER BRIAN DAVID | CHIEF INVESTMENT OFFICER; CHIEF INVESTMENT OFFICER AND DIRECTOR | — |
| SOTORP KAI REINER | PRESIDENT AND DIRECTOR | — |
| MANDINACH BARRY MITCHELL | DIRECTOR | — |
Showing 10 of 70 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-09-04 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS OR CONCLUSIONS THEREIN, UBS AG, UBS FINANCIAL SERVICES, INC., AND UBS SECURITIES LLC (COLLECTIVELY, "UBS") CONSENTED TO THE ENTRY OF A CFTC ORDER MAKING FINDINGS THAT, AT CERTAIN TIMES FROM AT LEAST 2015 UNTIL 2024, UBS FAILED TO DILIGENTLY SUPERVISE MATTERS… | Final | $5.0M |
| 2025-05-05 | criminal | FROM JANUARY 2010 THROUGH AT LEAST IN OR ABOUT JULY 2021, CREDIT SUISSE AG CONSPIRED TOWILLFULLY AID U.S. CUSTOMERS IN CONCEALING THEIR OWNERSHIP AND CONTROL OF ASSETS AND FUNDSHELD AT THE BANK, ENABLING THOSE U.S. CUSTOMERS TO EVADE THEIR U.S. TAX OBLIGATIONS. FROM ATLEAST 2014 THROUGH AT LEAST IN… | Final | — |
| 2025-02-18 | regulatory | THE KOREA FINANCIAL SUPERVISORY SERVICE (FSS) UNDERTOOK AN INDUSTRY-WIDE REVIEW OF SHORTSALE ACTIVITIES OF GLOBAL INVESTMENT BANKS STARTING FROM 2023 FOR A PERIOD OF 14 MONTHS. UBSWAS ONE OF THE 14 GLOBAL INVESTMENT BANKS INVOLVED. THE SCOPE OF THE REVIEW WASRETROSPECTIVE IN NATURE PRIMARILY COVERIN… | Final | $2.5M |
| 2025-01-14 | regulatory | THE CMB ALLEGED THAT CERTAIN CLIENT TRADES SUBMITTED BY UBS ON SEPTEMBER 15, 2020 CONSTITUTED AS MARKET ABUSE UNDER TURKISH LAW (SUBPARAGRAPHS (A) AND (F) OF THE FIRST PARAGRAPH OF ARTICLE 5 OF THE COMMUNIQUE ON MARKET ABUSE NO. VI-104.1) AND SUBJECT TO ADMINISTRATIVE FINES. | Final | $33K |
| 2023-12-13 | regulatory | "THE SECURITIES AND EXCHANGE COMMISSION (""SEC"") ENTERED AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS (THE ""SEC ORDER"") AGAINST CREDIT SUISSE ASSET MANAGEMENT, LLC (""CSAM"") AND CERTAIN OF ITS AFFILIATES IN CONNECTION WITH CSAM CONTINUING TO SERVE AS INVESTMENT ADVISER TO… | Final | $10.1M |
| 2023-08-01 | regulatory | MAS FOUND SHORTCOMINGS IN THE AREAS OF: (A) CUSTOMER RISK ASSESSMENT. FIVE OF THE FIS (BJBS, BOIPL, CITI, CSSB, UOBKH) FAILED TO IMPLEMENT ADEQUATE POLICIES OR PROCESSES FOR THE RATING OF ML RISKS PRESENTED BY SOME OF THEIR CUSTOMERS. THIS LED TO MIS-RATING OF ML RISKS AND AFFECTED THEIR ABILITY TO… | Final | $6.8M |
| 2023-07-24 | regulatory | ON OR ABOUT JULY 24, 2023, THE SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY (FINMA) CONCLUDED PROCEEDINGS AGAINST CREDIT SUISSE, FINDING THAT CREDIT SUISSE HAS SERIOUSLY AND SYSTEMATICALLY VIOLATED FINANCIAL MARKET LAW IN ITS RELATIONSHIP WITH THE ARCHEGOS FAMILY OFFICE TO TO VARIOUS ORGANIZATIONAL… | Final | — |
| 2023-07-21 | regulatory | THE FRB CONSENT ORDER, ARISING FROM RISK MANAGEMENT FAILINGS ASSOCIATED WITH THE MARCH 2021 DEFAULT OF ARCHEGOAS CAPITAL MANAGEMENT LP, ALLEGES VIOLATIONS UNDER SECTION 8(I)(2) OF THE FEDERAL DEPOSIT INSURANCE ACT, AS WELL AS SECTIONS 252.155-157 OF REGULATION YY OF THE BOARD OF GOVERNORS; THE ALLEG… | Final | $268.5M |
| 2022-09-27 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("COMMISSION") FOUND THAT FROM 2018 TO SEPTEMBER2022 ("RELEVANT PERIOD") UBS FINANCIAL SERVICES INC., UBS SECURITIES LLC, AND UBS AG(COLLECTIVELY "UBS" OR "RESPONDENTS") VIOLATED SECTIONS 4G,4S(F)(1)(C), 4S(G)(1) AND (3), AND4S(H)(1)(B) OF THE COMMODITY EXCHA… | Final | $75.0M |
| 2021-11-10 | regulatory | "ON JULY 21, 2023, THE UK PRUDENTIAL REGULATION AUTHORITY ISSUED A FINAL NOTICE TO CREDIT SUISSE INTERNATIONAL (CSI) AND CREDIT SUISSE SECURITIES (EUROPE) LTD (CSSEL) CONCERNING VARIOUS RISK MANAGEMENT AND GOVERNANCE FAILINGS ASSOCIATED WITH THE MANAGEMENT OF CREDIT SUISSE'S RELATIONSHIP WITH ARCHEG… | Final | $119.2M |