ICE DATA PRICING & REFERENCE DATA, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 110037). This firm reports disciplinary history on Form ADV.
Compensation: Fixed, Other.
Clients served: State/municipal, Other.
Showing 25 of 46 people.
| Name | Role | Location |
|---|---|---|
| Andrea Lorin O'Rourke | SECRETARY & VICE PRESIDENT LEGAL | — |
| Christopher Paul Krupa | PRESIDENT | — |
| Michael Gerard Mcmaster | CHIEF COMPLIANCE OFFICER | — |
| Brian Lane Bell | TREASURER | — |
| Mark Jonathan Heckert | CHIEF OPERATING OFFICER, DATA SERVICES | — |
| CLARK STUART JAMES | DIRECTOR; PRESIDENT & DIRECTOR | — |
| GRIEVE WILLIAM WRIGHT | SR. VICE PRESIDENT, TREASURER; SR. VICE PRESIDENT, TREASURER & DIRECTOR | — |
| KING JOHN LAWRENCE | CHIEF OPERATING OFFICER & DIRECTOR; CHIEF OPERATIONS OFFICER; CHIEF OPERATIONS OFFICER & DIRECTOR | — |
| D'ARCY RAYMOND LEO | DIRECTOR; DIRECTOR & CHAIRMAN; DIRECTOR & VICE CHAIRMAN (+3 more) | — |
| LOEW ANDREA HELENA | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & CORPORATE SECRETARY; VICE PRESIDENT, GENERAL COUNSEL & CORPORATE SECRETARY | — |
| ABELA ALIZABETH ANN | DIRECTOR, GLOBAL PRICING; DIRECTOR, GLOBAL PRICING (CORPORATES); SENIOR DIRECTOR, GLOBAL FIXED INCOME EVALUATIONS (+1 more) | — |
| BRASCH ARTHUR JOSEPH | DIRECTOR, MUNIVIEW & MUNICIPALS; SENIOR DIRECTOR, FIXED INCOME BUSINESS SUPPORT; VICE PRESIDENT, EVALUATION OPERATIONS (+1 more) | — |
| ADAMS SAMUEL ELWOOD | DIRECTOR, METHODOLOGIES; SENIOR DIRECTOR, METHODOLOGIES | — |
| CRANE STEVEN GORDON | DIRECTOR; EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER; PRESIDENT & DIRECTOR | — |
| BECKER DEBORAH SWINFORD | CHIEF COMPLIANCE OFFICER | — |
| SIMPSON ROBIN DAVID | SENIOR VICE PRESIDENT, CONTENT & OPERATIONS; VICE PRESIDENT, DATA OPERATIONS | — |
| ROBBINS JOHN FRANKLYN | CHIEF COMPLIANCE OFFICER | — |
| SCHUYLER STEPHEN CHARLES | CHIEF COMPLIANCE OFFICER | — |
| HOFFMAN PHILIP JOSEPH | DIRECTOR | — |
| BLANCE IAN PETER | VICE PRESIDENT, CAPITAL MARKETS; VICE PRESIDENT EVALUATION SERVICES; VICE PRESIDENT FIXED INCOME SERVICES | — |
| MIANO STEVEN MICHAEL | DIRECTOR, GLOBAL DATA COLLECTION - CMO'S, ASSET-BACKED SECURITIES, CORPORATE BONDS | — |
| HEPSWORTH MARK GRAHAM | PRESIDENT; PRESIDENT & DIRECTOR | — |
| HECKERT MARK JONATHAN | CHIEF OPERATING OFFICER, DATA SERVICES; MANAGING DIRECTOR, GLOBAL EVALUATED SERVICES OPERATIONS; PRESIDENT (+1 more) | — |
| DUGGAN ELIZABETH ANN | CHIEF OPERATING OFFICER, EVALUATIONS; MANAGING DIRECTOR, EVALUATED SERVICES; MANAGING DIRECTOR, EVALUATIONS | — |
| WILLIAMS CORT JEFFREY | PRESIDENT - SALES; PRESIDENT, SALES AND MARKETING AND DIRECTOR; PRESIDENT - SALES & DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-12-09 | regulatory | THE SEC ALLEGED A VIOLATION BY ICE DATA PRICING & REFERENCE DATA, LLC OF SECTION 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 AND RULE 206(4)-7 THEREUNDER RELATING TO THE SEC'S ALLEGATIONS THAT ICE DATA PRICING & REFERENCE DATA, LLC FAILED TO ADOPT AND IMPLEMENT POLICIES AND PROCEDURES REASONABLY D… | Final | $8.0M |