MFS INSTITUTIONAL ADVISORS INC. of BOSTON, MA is an SEC-registered investment adviser (CRD 107144). Regulatory assets under management: $113.6B.
Compensation: % of AUM, Performance, Other.
Clients served: High net worth, Pooled vehicles, Pensions, Charities, Investment cos.
Showing 25 of 49 people.
| Name | Role | Location |
|---|---|---|
| Burns Thomas | SECRETARY | Potchogue, NY |
| Manning James | CHAIRMAN AND CHIEF INVESTMENT OFFICER; CHAIRMAN & CHIEF INVESTMENT OFFICER; DIRECTOR (+1 more) | NORTH SYDNEY NSW, C3 |
| Manning Edward James | CHAIRMAN AND CHIEF INVESTMENT OFFICER; CHAIRMAN & CHIEF INVESTMENT OFFICER; DIRECTOR (+1 more) | North Sydney NSW, C3 |
| Heidi Walter Hardin | DIRECTOR AND CHAIR OF THE BOARD; DIRECTOR, CHAIR OF THE BOARD AND SECRETARY | — |
| Rosa Esmeralda Licea-Mailloux | CHIEF COMPLIANCE OFFICER | — |
| Joseph John Smelstor | TREASURER | — |
| Christine Elizabeth Modoono | DIRECTOR | — |
| Richard Alexander Drage | DIRECTOR | — |
| Aditi Vishal Taylor | DIRECTOR | — |
| Deborah Leigh Dodds | DIRECTOR | — |
| Edward Murray Maloney | PRESIDENT | — |
| Carol William Geremia | PRESIDENT AND SECRETARY | — |
| Michelle Thompson-Dolberry | DIRECTOR | — |
| Robertson George Mansi | DIRECTOR | — |
| Charuda Upatham-Costello | DIRECTOR AND TREASURER | — |
| Michael Sean Keenan | DIRECTOR | — |
| WHELAN VINCENT JOSEPH | TREASURER | — |
| LICEA-MAILLOUX ROSA ESMERALDA | CHIEF COMPLIANCE OFFICER | — |
| WOLIN MARTIN JOEL | CHIEF COMPLIANCE OFFICER | — |
| FAGAN TIMOTHY M | CHIEF COMPLIANCE OFFICER | — |
| BEAULIEU MARTIN ERIC | DIRECTOR | — |
| WHITAKER MICHAEL HOWARD | SENIOR VICE PRESIDENT AND DIRECTOR OF COMPLIANCE; SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| DWYER MARIA FRANCES | CHIEF COMPLIANCE OFFICER; EXECUTIVE VICE PRESIDENT & CHIEF REGULATORY OFFICER; EXECUTIVE VICE PRESIDENT, CHIEF REGULATORY OFFICER (+1 more) | — |
| KIRWAN PAUL THOMAS | TREASURER | — |
| CARP JEFFREY NEIL | SECRETARY | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-06-30 | regulatory | THE CHICAGO BOARD OF TRADE ("CBOT") ALLEGED VIOLATIONS BY SUN LIFE FINANCIAL INC. OF CBOT (LEGACY) RULE 432 AND RULE 534, RELATED TO TWO TRADES ON GLOBEX TOTALING 989 SEPTEMBER 2012 ULTRA TREASURY BOND FUTURES CONTRACTS. | Final | $50K |
| 2014-01-29 | regulatory | FAILURE TO TIMELY FILE A REQUIRED NOTIFICATION CONCERNING HOLDINGS OF A PARTICULAR SECURITY. | Final | $126K |
| — | regulatory | — | — | — |