EAGLE STRATEGIES LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 110826). Regulatory assets under management: $32.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions, Charities, Corporations.
Showing 25 of 117 people.
| Name | Role | Location |
|---|---|---|
| Wagner M Melissa | VICE PRESIDENT | Genoa, OH |
| Dylan Wei Huang | CHAIRMAN | — |
| Patricia Elizabeth Loftus | CORPORATE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | — |
| Deborah Lynn Duarte | ELECTED MANAGER | — |
| Mitchell Pary Ascione | VICE PRESIDENT AND CHIEF OPERATING OFFICER | — |
| Sandra Tillotson | ELECTED MANAGER | — |
| Nabeed Zaman | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | New York, NY |
| John Michael Boccio | PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| Amarya Nmn Feinberg | ELECTED MANAGER | — |
| Rachel Sabrina Schwartz | SENIOR VICE PRESIDENT & ASSOCIATE GENERAL COUNSEL; VICE PRESIDENT & ASSOCIATE GENERAL COUNSEL | — |
| Angela Chen Bagtas | ELECTED MANAGER | — |
| Sonali Nmn Virendra | ELECTED MANAGER | — |
| Robert Michael Gardner | ELECTED MANAGER | — |
| Robert M Rosh | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | — |
| Gregory Harold Webster | PRESIDENT & CHIEF EXECUTIVE OFFICER | — |
| Helen Wei | ELECTED MANAGER | — |
| MURRAY THOMAS JOSEPH | CORPORATE VICE PRESIDENT | — |
| BURNS RONALD J | VICE PRESIDENT | — |
| KIM JOHN YONG | ELECTED MANAGER | — |
| FLEURANT JOHN THOMAS | MANAGER | — |
| MARYANOPOLIS CHRISTOPHER | CORPORATE VICE PRESIDENT | — |
| ROUSSIN STEPHEN CRAIG | DIRECTOR | — |
| MURPHY KEVIN FRANCIS | CORPORATE VICE PRESIDENT | — |
| ABDELFATTAH YASSER M | CORPORATE VICE PRESIDENT | — |
| BRENNAN STEPHEN WILLIAM | ASSISTANT SECRETARY; ASSOCIATE LEGAL OFFICER AND ASSISTANT SECRETARY | — |
Showing 10 of 17 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 |
| 2024-04-19 | regulatory | NEW YORK LIFE GROUP INSURANCE COMPANY OF NEW YORK AND THE PREDECESSOR COMPANY FILED FORMS AND PROVIDED DATA TO THE STATE FROM 2018 TO 2022 THAT CONTAINED INACCURACIES. | Final | $13K |
| 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 |
| 2022-05-18 | regulatory | EAGLE STRATEGIES EMPLOYED AN INVESTMENT ADVISOR REPRESENTATIVE IN VIRGINIA WHO WAS NOT REGISTERED WITH THE DIVISION IN VIOLATION OF SECTION 13.1-504 C OF THE VIRGINIA SECURITIES ACT. | Final | $7K |
| 2022-02-01 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, EAGLE SETTLED AN ADMINISTRATIVE ACTION WITH THE MASSACHUSETTS SECURITIES DIVISION OF THE OFFICE OF THE SECRETARY OF THE COMMONWEALTH. THE SETTLEMENT ORDER FOUND THAT, FROM NOVEMBER 2018 THROUGH THE DATE OF THE SETTLEMENT, ONE OF EAGLE'S INVESTMENT ADVISER R… | Final | $40K |
| 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 |
| 2020-04-17 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, EAGLE SETTLED AN ADMINISTRATIVE ACTION WITH THE SEC. THE SETTLEMENT ORDER ("ORDER") FOUND THAT EAGLE WILLFULLY VIOLATED SECTION 206(2) OF THE INVESTMENT ADVISERS ACT OF 1940 BY BREACHING ITS FIDUCIARY DUTY AND MAKING INADEQUATE DISCLOSURES CONCERNING THE CO… | Final | $101K |
| 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 THE RESULT OF A ROUTINE MARKET CONDUCT EXAMINATION OF THE AFFAIRS OF NEW YORK LIFE INSURANCE COMPANY FOR THE PERIOD FROM JANUARY 1, 2005 THROUGH DECEMBER 31, 2009, THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES FOUND THAT NEW YORK LIFE VIOLATED SECTIONS 53-3.5(A), 53.3-5(B), 53-3.2(A)(2) AND… | Final | $732K |