NEW YORK LIFE INVESTMENT MANAGEMENT LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 109591). Regulatory assets under management: $120.7B.
Compensation: % of AUM, Fixed.
Clients served: High net worth, Pooled vehicles, Investment cos.
Showing 25 of 83 people.
| Name | Role | Location |
|---|---|---|
| Craig Andrew Sabal | ELECTED MANAGER | New York, NY |
| Naim Nmn Abou-Jaoude | CHIEF EXECUTIVE OFFICER | — |
| Alain Maurice Karaoglan | ELECTED MANAGER | — |
| Anthony Ramsey Malloy | ELECTED MANAGER | — |
| Maureen Anne Cronin | SVP, DEPUTY GENERAL COUNSEL AND CHIEF INVESTMENTS COUNSEL | — |
| Francis Michael Harte | CHIEF FINANCIAL OFFICER; ELECTED MANAGER | — |
| Dale Alexander Hanley | CHIEF RISK OFFICER; ELECTED MANAGER | — |
| Kevin Michael Bopp | CHIEF COMPLIANCE OFFICER | — |
| Kirk Christopher Lehneis | CHIEF OPERATING OFFICER | — |
| Jae Sung Yoon | CHIEF INVESTMENT OFFICER | — |
| Maureen Cronin | SVP, DEPUTY GENERAL COUNSEL AND CHIEF INVESTMENTS COUNSEL | — |
| HARTE FRANCIS MICHAEL | CHIEF FINANCIAL OFFICER | — |
| FISHER FREDERICK PAUL | ELECTED MANAGER AND CO-PRESIDENT; ELECTED MANAGER AND PRESIDENT; MANAGER AND CO-PRESIDENT (+3 more) | — |
| KIM JOHN YONG | CHAIRMAN; CHAIRMAN AND CHIEF EXECUTIVE OFFICER; CHAIRMAN OF BOARD AND COMPENSATION COMMITTEE (+2 more) | — |
| FLEURANT JOHN THOMAS | ELECTED MANAGER, CHAIRMAN OF AUDIT COMMITTEE; MANAGER; MANAGER, CHAIRMAN OF AUDIT COMMITTEE | — |
| MURPHY BRIAN MICHAEL | MANAGING DIRECTOR; SENIOR MANAGING DIRECTOR, RETIREMENT PLAN SERVICES | — |
| BURKE JOHN DAVID | MANAGING DIRECTOR AND CHIEF COMPL. OFFICE; SENIOR MANAGING DIRECTOR | — |
| STERNBERG SEYMOUR | MANAGER; MANAGER, MEMBER OF COMPENSATION COMMITTEE | — |
| AKHOURY RAVINDRANATH | MANAGER; MANAGER, VICE CHAIRMAN | — |
| WENDLANDT GARY EDWARD | MANAGER, CHAIRMAN; MANAGER, CHAIRMAN & CEO; MANAGER, CHAIRMAN, MEMBER OF AUDIT COMMITTEE | — |
| SPROULE MICHAEL EDWARD | MANAGER; MANAGER, CHAIRMAN OF AUDIT COMMITTEE | — |
| ROUSSIN STEPHEN CRAIG | PRESIDENT & CEO; PRESIDENT & COO | — |
| LAWTON DREW EDWARD | CHIEF EXECUTIVE OFFICER, SENIOR MANAGING DIRECTOR; CHIEF EXECUTIVE OFFICER, SENIOR MANAGING DIRECTOR, MANAGER; ELECTED MANAGER, CHIEF EXECUTIVE OFFICER (+5 more) | — |
| CULLEN JOHN ANDREW | MANAGER | — |
| BADLER SARA LOUISE | CHIEF COMPLIANCE OFFICER; SENIOR MANAGING DIRECTOR; SENIOR MANAGING DIRECTOR, HEAD OF LEGAL AND COMPLIANCE | — |
Showing 10 of 11 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-08-07 | regulatory | NYLIC PAID A $2,000 FINE FOR FAILING TO PAY CLAIMS AND INTEREST ON CLAIMS IN A TIMELY MANNER, IN VIOLATION OF CONNECTICUT STATUTORY REQUIREMENTS. | Final | $2K |
| 2023-12-16 | regulatory | NEW YORK LIFE INSURANCE COMPANY FAILED TO USE POLICY FORMS THAT WERE REVIEWED AND APPROVED BY THE STATE. IN ADDITION, CERTAIN FORMS DID NOT COMPLY WITH STATE REGULATIONS. | Final | $100K |
| 2021-10-04 | regulatory | ON OCTOBER 4, 2021 NEW YORK LIFE INSURANCE COMPANY ("NYLIC") RECEIVED AN ORDER OF CIVIL PENALTY AND ADOPTION OF A CORRECTIVE ACTION PLAN FROM THE KENTUCKY DEPARTMENT OF INSURANCE ALLEGING THAT NYLIC INCORRECTLY IMPLEMENTED PREMIUM RATE INCREASES ON 112 INDIVIDUAL LONG TERM CARE CONTRACTS IN VIOLATIO… | Final | $112K |
| 2021-03-23 | regulatory | THE OFFICE OF THE MONTANA STATE AUDITOR, COMMISSION OF SECURITIES AND INSURANCE ("CSI") FOUND THAT SINCE 2015 NEW YORK LIFE INSURANCE COMPANY AND NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION (COLLECTIVELY, "NYL") USED GROUP LIFE INSURANCE AND GROUP ANNUITY FORMS THAT HAD NOT BEEN APPROVED BY THE… | Final | $10K |
| 2018-01-24 | regulatory | DURING THE COURSE OF A ROUTINE MARKET CONDUCT EXAM, THE STATE OF CONNECTICUT INSURANCE DEPARTMENT (THE STATE) FOUND NEW YORK LIFE INSURANCE COMPANY DID NOT TIMELY PAY LONG TERM CARE CLAIMS IN FOUR INSTANCES. | Final | $1K |
| 2016-10-31 | regulatory | AS A RESULT OF A ROUTINE MARKET CONDUCT EXAMINATION OF THE AFFAIRS OF NEW YORK LIFE INSURANCE COMPANY FOR THE PERIOD FROM JANUARY 1, 2005-DECEMBER 31, 2009, THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES FOUND THAT NEW YORK LIFE VIOLATED SECTION 53-3.5(A), 53-3.2(A)(2) AND 533.6(B) OF DEPARTMEN… | Final | $732K |
| 2016-07-18 | civil | THE MAIN ALLEGATION OF THE COMPLAINT IS THAT PLAN FIDUCIARIES VIOLATED ERISA BY NOT OFFERING THE LEAST EXPENSIVE S&P 500 INDEX FUND AVAILABLE. | Final | $3.0M |
| 2015-12-07 | regulatory | THE ILLINOIS DEPARTMENT OF INSURANCE CONDUCTED A MARKET EXAM, THE REPORT OF WHICH IDENTIFIED CERTAIN AREAS WHERE NEW YORK LIFE INSURANCE COMPANY ("NYLIC") WAS NOT IN COMPLIANCE WITH ILLINOIS INSURANCE REGULATIONS. NYLIC AND THE IL DEPT OF INSURANCE ENTERED INTO A STIPULATION AND CONSENT ORDER UNDER… | Final | $26K |
| 2014-10-24 | regulatory | A CIVIL PENALTY TO NEW YORK LIFE INSURANCE COMPANY BECAUSE A THIRD PARTY ADMINISTRATOR WORKING ON ITS BEHALF FAILED TO COMPLY WITH THE HEALTH INSURANCE CLAIM PAYMENT STANDARDS UNDER THE KENTUCKY PROMPT PAY ACT. | Final | $6K |
| 2014-05-05 | regulatory | NYLIC ADMITTED TO THE FACTS AND ACCEPTED THE MARYLAND ADMINISTRATION'S CONCLUSIONS AS STATED IN THE EXAMINATION REPORT (MCLH-17-2011-E), IN RELATION TO NOT OFFERING THE BENEFICIARY IN WRITING AN EXPLANATION OF THE FEATURES OF THE RETAINED ASSET ACCOUNTS. NYLIC DENIED LIABILITY TO ANY THIRD PARTY AS… | Final | $1K |