VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. of HOUSTON, TX is an SEC-registered investment adviser (CRD 106975). Regulatory assets under management: $12.2B.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
Showing 25 of 26 people.
| Name | Role | Location |
|---|---|---|
| Carlos Gonzalez | CHIEF COMPLIANCE OFFICER | Lake Mary, FL |
| David Lawrence Giunta | DIRECTOR | — |
| Eric Norman Ward | DIRECTOR | — |
| Christopher David Wallis | DIRECTOR, CEO & CIO | — |
| James Theodore Orfanos | DIRECTOR | — |
| Steven Psaledakis | PRESIDENT | — |
| Nathan Elliot Sloan | CHIEF OPERATING OFFICER | — |
| Susan Konarik Darshad | MANAGING DIRECTOR, FINANCE | — |
| VOSS PETER STUART | DIRECTOR | — |
| HAILER JOHN THOMAS | DIRECTOR | — |
| LAHOURCADE LEE ALAN | PRESIDENT, CEO AND DIRECTOR | — |
| FAIG RICHARD BRUCE | CFO, CHIEF COMPLIANCE OFFICER; CFO, COMPLIANCE | — |
| BEARDEN BEVERLY MILLS | DIRECTOR | — |
| CHAFKIN JEREMIAH HARRISON | DIRECTOR | — |
| GIUNTA DAVID LAWRENCE | DIRECTOR | — |
| MCCULLOUGH EDWARD | DIRECTOR | — |
| VAUGHAN VAUGHAN HAROLD | CHAIRMAN, DIRECTOR | — |
| UMBERFIELD SHERRY ANN | DIRECTOR | — |
| SCARBOROUGH JOHN FRANKLIN | DIRECTOR | — |
| BEARDEN BEVERLY M | DIRECTOR | — |
| SLOAN NATHAN ELLIOT | CHIEF OPERATING OFFICER | — |
| PSALEDAKIS STEVEN | PRESIDENT | — |
| MCCULLOUGH EDWARD STANTON | DIRECTOR | — |
| GONZALEZ JOSE CARLOS | CHIEF COMPLIANCE OFFICER | — |
| WALLIS CHRISTOPHER DAVID | DIRECTOR, CEO & CIO; PRESIDENT, CEO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-09-06 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ISSUED AN ORDER FILING AND SETTLING CHARGES AGAINST NATIXIS, A GLOBAL BANK AND SWAP DEALER, FOR FAILURE TO DILIGENTLY SUPERVISE TWO TRADERS ON THE BANK'S NEW YORK-BASED INTEREST RATE DERIVATIVES DESK (IRD DESK) AND ITS EQUITY DERIVATIVES FLOW AND SOLUTION TRA… | Final | $2.8M |
| 2019-06-26 | criminal | ON JUNE 24, 2021, NATIXIS SA ("NATIXIS"), THE FRENCH BANK THAT OWNS OUR PARENT COMPANY, WAS FOUND GUILTY BY A FRENCH CRIMINAL COURT (TRIBUNAL CORRECTIONNEL DE PARIS) OF COMMUNICATING MISLEADING INFORMATION TO THE PUBLIC, BASED ON LANGUAGE REGARDING NATIXIS' EXPOSURE TO THE SUB-PRIME CRISIS IN A 2007… | On Appeal | — |
| 2019-06-26 | criminal | ON JUNE 24, 2021, NATIXIS SA ("NATIXIS"), THE FRENCH BANK THAT OWNS OUR PARENT COMPANY, WAS FOUND GUILTY BY A FRENCH CRIMINAL COURT (TRIBUNAL CORRECTIONNEL DE PARIS) OF COMMUNICATING MISLEADING INFORMATION TO THE PUBLIC, BASED ON LANGUAGE REGARDING NATIXIS' EXPOSURE TO THE SUB-PRIME CRISIS IN A 2007… | Final | — |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| VNIM09 | Other Private Fund | Texas | 11 | $2.5M | $50K |
| City | State | Employees | Phone |
|---|---|---|---|
| CHICAGO | IL | 4 | 3127671803 |
| CHICAGO | IL | 4 | 3127671803 |