U.S. BANCORP ASSET MANAGEMENT, INC. of MINNEAPOLIS, MN is an SEC-registered investment adviser (CRD 111912). Regulatory assets under management: $427.5B.
Compensation: % of AUM, Performance, Other.
Clients served: High net worth, Pooled vehicles, Investment cos.
Showing 25 of 45 people.
| Name | Role | Location |
|---|---|---|
| Paul Allen | CHIEF COMPLIANCE OFFICER | Redmond, WA |
| Paul R Allen | CHIEF COMPLIANCE OFFICER | Enid, OK |
| Richard Jude Ertel | DIRECTOR, CHIEF COUNSEL AND SECRETARY | — |
| Eric James Thole | DIRECTOR, CHIEF EXECUTIVE OFFICER & PRESIDENT | — |
| James David Palmer | DIRECTOR, CHIEF INVESTMENT OFFICER; DIRECTOR, CIO - MONEY MARKET FUNDS MANAGEMENT AND CORPORATE FIXED INCOME STRATEGIES | — |
| Jill Michele Stevenson | HEAD OF OPERATIONS; HEAD OF OPERATIONS AND MUTUAL FUNDS TREASURER | — |
| Leo Joseph Karwejna | CHIEF COMPLIANCE OFFICER | — |
| Lisa Ann Isaacson | CHIEF ADMINISTRATIVE OFFICER | — |
| Kenneth Eric Schiebel | CIO - PUBLIC FUNDS MANAGEMENT AND OCIO STRATEGIES | — |
| Paul Steven Allen | CHIEF COMPLIANCE OFFICER | — |
| BRUNEL JEAN LOUISPIERRE | DIRECTOR | — |
| CHOSY JAMES LOUIS | SECRETARY; SECRETARY AND CHIEF LEGAL OFFICER | — |
| FLEMING JOSEPH DANIEL | CHIEF COMPLIANCE OFFICER | — |
| PALMER MATTHEW DAVID | DIRECTOR, CHIEF INVESTMENT OFFICER; DIRECTOR, CIO - MONEY MARKET FUNDS MANAGEMENT AND CORPORATE FIXED INCOME STRATEGIES | — |
| PLUMMER SCOTT ROANE | CHIEF COMPLIANCE OFFICER | — |
| SCHREIER THOMAS STEPHEN | DIRECTOR, CHIEF EXECUTIVE OFFICER; DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT; DIRECTOR, PRESIDENT (+2 more) | — |
| JORDAHL MARK STEVEN | DIRECTOR; DIRECTOR, CHIEF INVESTMENT OFFICER | — |
| LUI DAVID HARRISON | CHIEF COMPLIANCE OFFICER | — |
| MANZONI CHARLES R | DIRECTOR, GENERAL COUNSEL, CHIEF RISK OFFICER & SECRETARY; DIRECTOR,GENERAL COUNSEL & SECRETARY | — |
| ULREY JOSEPH MADISON | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT; DIRECTOR, CHIEF FINANCIAL OFFICER; DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER & HEAD OF TECHNOLOGY & OPERATIONS | — |
| DEWEY WALTER EDWARD | DIRECTOR | — |
| KARWEJNA LEO JOSEPH | CHIEF COMPLIANCE OFFICER | — |
| ZENTMYER MARIAN ELIZABETH | DIRECTOR | — |
| SQUIRES JEFFREY MORGAN | DIRECTOR AND CHIEF COMPLIANCE OFFICER | — |
| DOW PAUL ALEXANDER | DIRECTOR | — |
Showing 10 of 21 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-09-04 | regulatory | AS A REGISTERED SWAP DEALER AND REPORTING COUNTERPARTY, U.S. BANK NATIONAL ASSOCIATION ("USB") HAS SWAP REPORTING OBLIGATIONS UNDER THE COMMODITY EXCHANGE ACT (THE "ACT") AND COMMODITY FUTURES TRADING COMMISSION (CFTC) REGULATIONS (THE "REGULATIONS"). DURING THE RELEVANT PERIOD, USB REPORTED INACCUR… | Final | $325K |
| 2024-03-19 | regulatory | ON MARCH 19, 2024, THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ISSUED AN ADMINISTRATIVE ORDER FINDING THAT U.S. BANK, N.A. ("USBNA") VIOLATED CERTAIN PROVISIONS OF THE COMMODITY EXCHANGE ACT AND CFTC REGULATIONS, WHICH REQUIRE A CFTC REGISTRANT TO MAINTAIN ALL WRITTEN COMMUNICATIONS RELATED TO… | Final | $6.0M |
| 2023-12-19 | regulatory | ON DECEMBER 19, 2023, THE OFFICE OF THE COMPTROLLER OF THE CURRENCY ISSUED A CONSENT ORDER AND ASSESSED A $15 MILLION CIVIL MONEY PENALTY AGAINST U.S. BANK NATIONAL ASSOCIATION FOR ENGAGING IN UNFAIR PRACTICES IN VIOLATION OF SECTION 5 OF THE FEDERAL TRADE COMMISSION ACT WITH RESPECT TO ITS ADMINIST… | Final | $15.0M |
| 2023-12-19 | regulatory | ON DECEMBER 19, 2023, THE CONSUMER FINANCIAL PROTECTION BUREAU ISSUED A CONSENT ORDER AND ASSESSED A $15 MILLION CIVIL MONEY PENALTY AGAINST U.S. BANK NATIONAL ASSOCIATION FOR ENGAGING IN UNFAIR ACTS OR PRACTICES IN VIOLATION OF THE CONSUMER FINANCIAL PROTECTION BUREAU ACT OF 2010 WITH RESPECT TO IT… | Final | $15.0M |
| 2023-05-10 | regulatory | ON MAY 10, 2023, THE OFFICE OF THE COMPTROLLER OF THE CURRENCY ISSUED A CONSENT ORDER AND ASSESSED A $15 MILLION CIVIL MONEY PENALTY AGAINST MUFG UNION BANK, NATIONAL ASSOCIATION (WHICH MERGED INTO U.S. BANK NATIONAL ASSOCIATION ON MAY 26, 2023) FOR ENGAGING IN DECEPTIVE PRACTICES IN VIOLATION OF SE… | Final | $15.0M |
| 2022-07-28 | regulatory | THE CFPB IDENTIFIED DEFICIENCIES IN U.S. BANK'S PRACTICES RELATED TO OPENING OF CREDIT CARD, LINE OF CREDIT AND DEPOSIT ACCOUNTS WITHOUT CUSTOMER PERMISSION IN VIOLATION OF SECTION 1601 OF THE TRUTH IN LENDING ACT, SECTION 1681B(F) OF THE FAIR CREDIT REPORTING ACT, SECTION 4301 OF THE TRUTH IN SAVIN… | Final | $37.5M |
| 2021-09-20 | regulatory | ON SEPTEMBER 20, 2021, THE OFFICE OF THE COMPTROLLER OF THE CURRENCY (OCC) ISSUED A CONSENT ORDER AGAINST AFFILIATE MUFG UNION BANK, N.A., PURSUANT TO 12 U.S.C. § SECTION 1818(B), THROUGH THE ISSUANCE OF A NOTICE OF CHARGES, FOR ENGAGING IN UNSAFE OR UNSOUND PRACTICES AND ITS NONCOMPLIANCE WITH 12 C… | Final | — |
| 2018-02-15 | regulatory | U.S. BANCORP ("USB") LACKED ADEQUATE RISK MANAGEMENT AND COMPLIANCE POLICIES AND PROCEDURES TO ENSURE THAT ACTIVITIES CONDUCTED AT U.S. BANK NATIONAL ASSOCIATION ("U.S. BANK") AND USB AMERICAS HOLDINGS COMPANY (THE "AGREEMENT CORPORATION") COMPLIED WITH APPLICABLE BANK SECRECY ACT AND ANTI-MONEY LAU… | Final | $15.0M |
| 2018-02-15 | regulatory | U.S. BANK NATIONAL ASSOCIATION ("U.S. BANK") WILLFULLY FAILED TO MAINTAIN AN ADEQUATE ANTI-MONEY LAUNDERING ("AML") PROGRAM AND TO REPORT SUSPICIOUS TRANSACTIONS RELEVANT TO A POSSIBLE VIOLATION OF LAW OR REGULATIONS. | Final | $70.0M |
| 2018-02-15 | criminal | AS DESCRIBED IN THE DPA, FROM 2009 TO 2014, USB WILLFULLY FAILED TO ESTABLISH, IMPLEMENT, AND MAINTAIN AN ADEQUATE ANTI-MONEY LAUNDERING PROGRAM AND INTENTIONALLY IMPLEMENTED AND MAINTAINED BANK SECRECY ACT AND ANTI-MONEY LAUNDERING ("BSA/AML") SYSTEMS AND POLICIES THAT RESULTED IN USB FAILING TO ID… | Pending | — |