WESTERN ASSET MANAGEMENT COMPANY, LLC of PASADENA, CA is an SEC-registered investment adviser (CRD 110441). Regulatory assets under management: $185.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
Showing 25 of 54 people.
| Name | Role | Location |
|---|---|---|
| James Lewis | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING; DIRECTOR OF GLOBAL CLIENT SERVICES | George Town, Grand Cayman, E9 |
| CONNIE SUE FISCHER | DIRECTOR OF PORTFOLIO OPERATIONS | PASADENA, CA |
| James B Lewis | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING; DIRECTOR OF GLOBAL CLIENT SERVICES | New York, NY |
| James W Lewis | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING; DIRECTOR OF GLOBAL CLIENT SERVICES | Jersey City, NJ |
| James C Lewis | DIRECTOR OF GLOBAL CLIENT SERVICE AND MARKETING; DIRECTOR OF GLOBAL CLIENT SERVICES | Beijing, F4 |
| Jennifer Morrow Johnson | NON-EMPLOYEE DIRECTOR | — |
| Matthew Nicholls | NON-EMPLOYEE DIRECTOR | — |
| Courtney Ann Hoffmann | GENERAL COUNSEL AND SECRETARY | — |
| Jed Andrew Plafker | NON-EMPLOYEE DIRECTOR | — |
| James William Hirschmann | CHAIRMAN | — |
| Michael Carlton Buchanan | DIRECTOR AND CHIEF INVESTMENT OFFICER | — |
| Thomas James Gahan | PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| Kim Eileen Stout | CHIEF COMPLIANCE OFFICER | — |
| Jeffrey Scott Masom | HEAD-US DISTRIBUTION & GLOBAL WEALTH MANAGEMENT ALTERNATIVES | — |
| Daniel Everett Giddings | GLOBAL CHIEF COMPLIANCE OFFICER | — |
| EVEN MICHAEL NMN | NON-EMPLOYEE DIRECTOR | — |
| SCHEVE TIMOTHY CHARLES | NON-EMPLOYEE DIRECTOR | — |
| BAIN PETER LANNING | NON-EMPLOYEE DIRECTOR | — |
| FISCHER CAROL SUE | DIRECTOR OF PORTFOLIO OPERATIONS | — |
| RUYS DE PEREZ CHARLES ANTONY | GENERAL COUNSEL AND SECRETARY | — |
| GAHAN THOMAS JAMES | PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| MERCHANT THOMAS CLIFTON | NON-EMPLOYEE DIRECTOR | — |
| PLAFKER JED ANDREW | NON-EMPLOYEE DIRECTOR | — |
| TABER EDWARD ALBERT | NON-EMPLOYEE DIRECTOR | — |
| ALBERTS BRUCE DANIEL | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-06-05 | regulatory | ON JUNE 5, 2026, FOLLOWING AN OFFER OF SETTLEMENT, THE U.S. SECURITIES AND EXCHANGE COMMISSION ISSUED AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER AGAINST REGISTRANT (THE "ORDER") RELATING TO CERTA… | Final | $100.0M |
| 2024-11-25 | civil | VIOLATIONS OF SEC 17(A)(1) AND (3) OF THE SECURITIES ACT, SEC 10(B) AND RULE 10B-5(A) AND (C) THEREUNDER UNDER THE EXCHANGE ACT, SEC 206(1) AND (2) OF THE ADVISERS ACT, AND SEC 36(A) AND 37 OF THE INVESTMENT COMPANY ACT. | Pending | — |
| 2024-11-25 | criminal | THE CHARGES ALLEGE THAT BETWEEN 2021 AND OCTOBER 2023 MR. LEECH ENGAGED IN INAPPROPRIATE TRADE ALLOCATIONS OF TREASURY FUTURES AND OPTIONS WHERE FAVORED ACCOUNTS WERE ALLOCATED TRADES THAT DID BETTER DURING THEIR FIRST DAY AND TRADES WITH LESSER PERFORMANCE DURING THEIR FIRST DAY WERE ALLOCATED TO D… | Pending | — |
| 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 | — | — | — |