WESTERN ASSET MANAGEMENT COMPANY LIMITED of LONDON is an SEC-registered investment adviser (CRD 110427). Regulatory assets under management: $20.1B.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
Showing 25 of 37 people.
| Name | Role | Location |
|---|---|---|
| James Lewis | DIRECTOR AND SENIOR EXECUTIVE OFFICER | George Town, Grand Cayman, E9 |
| CONNIE SUE FISCHER | DIRECTOR OF PORTFOLIO OPERATIONS | PASADENA, CA |
| James B Lewis | DIRECTOR AND SENIOR EXECUTIVE OFFICER | New York, NY |
| James W Lewis | DIRECTOR AND SENIOR EXECUTIVE OFFICER | Jersey City, NJ |
| James C Lewis | DIRECTOR AND SENIOR EXECUTIVE OFFICER | Beijing, F4 |
| Thomas Clifton Merchant | CHAIRMAN | — |
| Andrew James Ashton | DIRECTOR AND CHIEF EXECUTIVE OFFICER | — |
| Courtney Ann Hoffmann | DIRECTOR AND SENIOR EXECUTIVE OFFICER | — |
| Michael Baruch Zelouf | DIRECTOR AND SENIOR EXECUTIVE OFFICER | — |
| Jelena Nmn Petrovic | CHIEF COMPLIANCE OFFICER | — |
| Michael Carlton Buchanan | CIO | — |
| SCHEVE TIMOTHY CHARLES | DIRECTOR | — |
| BAIN PETER LANNING | NON-EMPLOYEE DIRECTOR | — |
| RUYS DE PEREZ CHARLES ANTONY | GENERAL COUNSEL; GENERAL COUNSEL AND DIRECTOR | — |
| MERCHANT THOMAS CLIFTON | CHAIRMAN; NON-EXECUTIVE DIRECTOR | — |
| TABER EDWARD ALBERT | DIRECTOR | — |
| HIRSCHMANN JAMES WILLIAM | MANAGING DIRECTOR AND DIRECTOR | — |
| LEECH STEPHEN KENNETH | DIRECTOR | — |
| MCSHEA GREGORY BURNS | GENERAL COUNSEL; HEAD OF LEGAL AND COMPLIANCE; CHIEF COMPLIANCE OFFICER | — |
| FLEET DAVID DANIEL | DIRECTOR | — |
| EHRLICH KEVIN | CHIEF COMPLIANCE OFFICER | — |
| MASON RAYMOND ADAMS | DIRECTOR | — |
| TAYLOR-KING SUZANNE | FINANCE OFFICER | — |
| ZELOUF MICHAEL BARUCH | DIRECTOR AND SENIOR EXECUTIVE OFFICER | — |
| NATTANS JEFFREY ALLEN | NON-EMPLOYEE DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-08-27 | regulatory | ON AUGUST 27, 2018, THE SEC ISSUED AN ORDER THAT FOUND THAT LEGG MASON HAD VIOLATED SECTION 13(B)(2)(B) OF THE SECURITIES EXCHANGE ACT OF 1934 BY FAILING TO DEVISE AND MAINTAIN A SYSTEM OF APPROPRIATE INTERNAL ACCOUNTING CONTROLS WITH RESPECT TO THE USE OF INTRODUCING BROKERS AND OTHER INTERMEDIARIE… | Final | — |
| — | regulatory | — | — | — |