CIBC PRIVATE WEALTH ADVISORS, INC. of CHICAGO, IL is an SEC-registered investment adviser (CRD 109644). Regulatory assets under management: $67.8B.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Investment cos, Other.
Showing 25 of 60 people.
| Name | Role | Location |
|---|---|---|
| David Cross | DIRECTOR | VANCOUVER, A1 |
| Gary Pzegeo | CHIEF INVESTMENT OFFICER; CO-CHIEF INVESTMENT OFFICER | Boston, MA |
| Thomas Scott | DIRECTOR; DIRECTOR, CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER; DIRECTOR & CHIEF INVESTMENT OFFICER | Miami, FL |
| Thomas M Scott | DIRECTOR; DIRECTOR, CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER; DIRECTOR & CHIEF INVESTMENT OFFICER | Los Angeles, CA |
| Thomas E Scott | DIRECTOR; DIRECTOR, CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER; DIRECTOR & CHIEF INVESTMENT OFFICER | Miami, FL |
| Henderson S Eric | ELECTED MANAGER | Columbus, OH |
| John Sheehan Markwalter | CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | — |
| Gregory Brent Campbell | GENERAL COUNSEL & ASST SECRETARY, DIRECTOR | — |
| Philip Wayne Cecil | SECRETARY | — |
| Paul Carey | CHIEF FINANCIAL OFFICER | — |
| Diana Kifarkis Vasquez | DIRECTOR | — |
| Kishore Setty | PRESIDENT | — |
| Brian Delman | CHIEF COMPLIANCE OFFICER | New York City, NY |
| Trevor C Chambers | DIRECTOR | — |
| Daniel Eric Feldman | DIRECTOR | — |
| David Lazarus Donabedian | CO-CHIEF INVESTMENT OFFICER | — |
| Kevin J Burns | DIRECTOR | — |
| WARD CLINTON LOUIS | CHIEF COMPLIANCE OFFICER | — |
| BROWN JAMES ROBERT | CHIEF FINANCIAL OFFICER | — |
| BURNS RONALD J | DIRECTOR | — |
| ANTUNES MARY ELIZABETH | CHIEF COMPLIANCE OFFICER | — |
| LOVELL JEFFREY DALE | ELECTED MANAGER | — |
| NEWCOM JENNINGS JAY | ELECTED MANAGER | — |
| MCKENNA KEVIN J | DIRECTOR | — |
| RIEGEL JOYCE BARBARA | CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-24 | regulatory | ON SEPTEMBER 24, 2024, THE SECURITIES AND EXCHANGE COMMISSION (SEC) ANNOUNCED A JOINT SETTLEMENT WITH CIBC PRIVATE WEALTH ADVISORS, INC. AND CIBC WORLD MARKETS CORP. (COLLECTIVELY FOR PURPOSES OF THIS PARAGRAPH, CIBC) IN WHICH CIBC AGREED TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $12,000,000 FOR… | Final | $12.0M |
| 2024-09-24 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("COMMISSION") HAS REASON TO BELIEVE THAT FROM AT LEAST SEPTEMBER 2018 TO THE PRESENT ("RELEVANT PERIOD"), CANADIAN IMPERIAL BANK OF COMMERCE ("CIBC") VIOLATED, AS SET FORTH BELOW, SECTIONS 4S(F)(1)(C), 4S(G)(1) AND (3), AND 4S(H)(1)(B) OF THE COMMODITY EXCHA… | Final | $30.0M |
| 2023-11-08 | civil | FREDERIC A. MENDELSOHN V. RICHARD K. SHEINER AND CIBC PRIVATE WEALTH ADVISORS, INC. - PLAINTIFF FILED COMPLAINT IN CIRCUIT COURT OF COOK COUNTY ILLINOIS, ASSERTING FOUR COUNTS AGAINST SHEINER AND PWA. COMPLAINT ALLEGES THAT PLAINTIFF AGREED TO SET UP AN ACCOUNT WITH SHEINER/PWA IN THE NAME OF HIS WI… | Pending | — |
| 2023-05-04 | regulatory | CIBC WORLD MARKETS CORP VIOLATED CBOE RULES 4.2, 5.12, 8.1, 8.2 AND OCC BY LAWS ARTICLE VI SECTION I IN THAT THEY IMPROPERLY USED THE OCC ADJUSTMENT PROCESS. THE FIRM ALSO VIOLATED CBOE RULE 8.16 IN THAT THEY DID NOT ESTABLISH SUFFICIENT SUPERVISORY PROCEDURES REGARDING ITS USE OF THE OCC ADJUSTMENT… | Final | $80K |
| 2021-09-22 | civil | THE COMPLAINT ALLEGES THAT CIBC PRIVATE WEALTH ADVISORS, INC. AND ITS ADVISORY AFFILIATE (THE "DEFENDANT") BREACHED THEIR FIDUCIARY DUTY AND FAILED TO EXERCISE REASONABLE CARE AND TO ACT WITH REASONABLE DILIGENCE IN THE COURSE OF PROVIDING DISCRETIONARY INVESTMENT ADVISORY SERVICES TO THE PLAINTIFF.… | Final | $250K |
| 2019-10-28 | regulatory | FROM FEBRUARY 2017 THROUGH OCTOBER 2017, CIBC WORLD MARKETS CORP (CIBC) FAILED TO ACCURATELY RECORD THE ORDER RECEIPT AND ORDER TRANSMISSION TIMES OF MANUAL OPTIONS ORDERS IT HAD ROUTED TO THE ISE AND VARIOUS OTHER NATIONS SECURITIES EXCHANGES FOR EXECUTION IN VIOLATION OF RULE 17A-3(A)(6)(I) OF THE… | Final | $33K |
| 2019-05-06 | regulatory | THE CHICAGO BOARD OF OPTIONS, INC. ("CBOE") DETERMINED THAT ON OR ABOUT JUNE 1, 2016, CIBC WORLD MARKETS CORP. ("CIBC") BY AND THROUGH ITS ASSOCIATED PERSON, ACCEPTED A CUSTOMER HELD ORDER TO SELL SPX AND XSP AUGUST PUT OPTIONS AND IN TURN (1) ENGAGED IN ANTICIPATORY HEDGING TRANSACTIONS IN RELATED… | Final | $100K |
| 2017-02-13 | regulatory | FROM FEBRUARY 2017 THROUGH OCTOBER 2017, CIBC WORLD MARKETS CORP (CIBC) FAILED TO ACCURATELY RECORD THE ORDER RECEIPT AND ORDER TRANSMISSION TIMES OF MANUAL OPTIONS ORDERS IT HAD ROUTED TO THE ISE AND VARIOUS OTHER NATIONAL SECURITIES EXCHANGES FOR EXECUTION IN VIOLATION OF RULE 17A-3(A)(6)(1) OF TH… | Final | $33K |
| 2015-02-18 | regulatory | ON JULY 1, 2013 CIBC BROKERED AND ENTERED INTO TWO EXCHANGE FOR RELATED POSITIONS (EFRPS) WHICH DID NOT CONTAIN DOCUMENTATION OF THE RELATED OTC TRANSACTION AND THEREFORE, WERE NOT BONA FIDE EFRPS. THE NYMEX BUSINESS CONDUCT COMMITTEE PANEL FOUND THAT AS A RESULT CIBC VIOLATED LEGACY EXCHANGE RULE 5… | Final | $15K |
| 2014-10-23 | regulatory | 1. OCC MADE A SETTLEMENT REPORT AVAILABLE TO CIBC REFLECTING CIBC'S NET SETTLEMENT OBLIGATION FOR 10/2/2014 IN THE AMOUNT OF $12,969,113. 2. CIBC DESIGNATED CLEARING BANK PURSUANT TO OCC RULE 203 DID NOT ACCEPT THE SETTLEMENT INSTRUCTIONS UNTIL TWO MINUTES AFTER THE SETTLEMENT WAS DUE AS SET FORTH I… | Final | $25K |