UBS FARMLAND INVESTORS LLC of HARTFORD, CT is an SEC-registered investment adviser (CRD 107754).
Compensation: % of AUM.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| James Bruce McCandless | PRESIDENT, CEO | Hartford, CT |
| Steven Mark Kapiloff | GENERAL COUNSEL/ SECRETARY | Hartford, CT |
| Nicholas Simon Pile | CHIEF COMPLIANCE OFFICER | — |
| Daniel Eugene Murray | FINANCE AND CONTROL; PRESIDENT, CEO | — |
| O'SHEA COLM JAMES | CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL; GENERAL COUNSEL/ CHIEF COMPLIANCE OFFICER | — |
| LINDQUIST DEAN ALDEN | CFO | — |
| LYNCH MATTHEW HAYWARD | GENERAL COUNSEL | — |
| CULLEN MICHELLE ANNE | CHIEF COMPLIANCE OFFICER; COMPLIANCE OFFICER | — |
| MCCANDLESS JAMES BRUCE | PRESIDENT; PRESIDENT, CEO | — |
| WEBB ROY BRIAN | CHAIRMAN AND CEO | — |
| DESROCHES KATRINA ROBERTA | COMPLIANCE OFFICER | — |
| LYNCH JAMES LOUIS | FINANCE AND CONTROL | — |
| HAFFNER JONATHAN SCOTT | FINANCE AND CONTROL | — |
| KAPILOFF STEVEN MARK | GENERAL COUNSEL/ SECRETARY | — |
| PILE NICHOLAS SIMON | CHIEF COMPLIANCE OFFICER | — |
| LOGAN SARA J | CHIEF COMPLIANCE OFFICER | — |
| CUMISKEY RICHARD ALLEN | CHIEF COMPLIANCE OFFICER | — |
| MURRAY DANIEL EUGENE | FINANCE AND CONTROL | — |
| Rabenou Darren Todd | HEAD OF REPM FOOD AND AGRICULTURE & ON THE INVESTMENT COMMITTEE | — |
| Philip Stacey | CHIEF LEGAL OFFICER | — |
Showing 10 of 56 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2109-11-11 | regulatory | THE SFC FINED AND REPRIMANDED UBS AG (UBS) FOR OVERCHARGING SOME CLIENTS OVER A TEN-YEAR PERIOD AND FOR RELATED SERIOUS SYSTEMIC INTERNAL CONTROL FAILURES. THE SFC'S INVESTIGATIONS REVEALED THAT BETWEEN 2008 AND 2015, THE CLIENT ADVISORS AND CLIENT ADVISORS' ASSISTANTS IN UBS'S WEALTH MANAGEMENT DIV… | Final | $51.0M |
| 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 |
| 2025-02-18 | 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 15 SEPTEMBER 2020 CONSTITUTED AS MARKET ABUSE UNDER TURKISH LAE (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 |
| 2024-07-03 | regulatory | THE ALLEGATIONS WERE THAT CSSB AND CSSL ENGAGED IN NAKED SHORT SALES AMOUNTING TO APPROXIMATELY KRW 60.33 BILLION AND KRW 35.28 BILLION, RESPECTIVELY, WITHOUT POSSESSING THE STOCKS AT THE TIME OF PLACING THE SHORT SALE ORDERS. | On Appeal | $20.0M |
| 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 AGAINSTCREDITSUISSE, FINDING THAT CREDIT SUISSE HAS SERIOUSLY AND SYSTEMATICALLY VIOLATED FINANCIAL MARKET LAW IN ITS RELATIONSHIP WITH THE ARCHEGOS FAMILY OFFICE DUE TO VARIOUS ORGANIZATIONAL D… | Final | $268.5M |
| 2023-07-21 | regulatory | THE FRB CONSENT ORDER, ARISING FROM RISK MANAGEMENT FAILINGS ASSOCIATED WITH THE MARCH 2021 DEFAULT OF ARCHEGOSCAPITALMANAGEMENT LP, ALLEGES VIOLATIONS UNDER SECTION 8(I)(2) OF THE FEDERAL DEPOSIT INSURANCE ACT, AS WELL AS SECTIONS252.155-157 OFREGULATION YY OF THE BOARD OF GOVERNORS; THE ALLEGATION… | 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 |
| 2021-10-14 | regulatory | THE CFTC ALLEGED THAT DURING THE RELEVANT PERIOD (JULY 8, 2019 TO DECEMBER 23, 2019) UBSAGFAILED TO KEEP REQUIRED VOICE RECORDING FILES CONTAINING ORAL COMMUNICATIONS RELATEDTOREGULATED SWAP ACTIVITY AND PRE-EXECUTION TRADE INFORMATION FROM, DESPITE THE ONE-YEARRETENTION PERIOD REQUIRED UNDER REGULA… | Final | $500K |