BEAR STEARNS ASSET MANAGEMENT INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 113359).
Compensation: % of AUM.
Clients served: Investment cos.
Showing 25 of 52 people.
| Name | Role | Location |
|---|---|---|
| Sullivan Michael | CHIEF FINANCIAL OFFICER/MANAGING DIRECTOR; DIRECTOR/CHIEF FINANCIAL OFFICER/MANAGING DIRECTOR | New York, NY |
| Ronan Padraig O'Comhrai | CHIEF LEGAL OFFICER | — |
| Ronald J Withelder | DIRECTOR | — |
| Mark Campbell-James | DIRECTOR / CHIEF FINANCIAL OFFICER | — |
| Janet Squitieri | CHIEF COMPLIANCE OFFICER / EXECUTIVE DIRECTOR | — |
| Andrew M Headley | DIRECTOR / CHAIRMAN / CHIEF EXECUTIVE OFFICER / PRESIDENT / MANAGING DIRECTOR | — |
| Gavin Berelowitz | DIRECTOR / MANAGING DIRECTOR / CHAIRMAN / CHIEF EXECUTIVE OFFICER / PRESIDENT | New York,, NY |
| RICHTER SCOTT EDWARD | CHIEF LEGAL OFFICER/MANAGING DIRECTOR; SECRETARY/MANAGING DIRECTOR; SECRETARY/MANAGING DIRECTOR/CHIEF LEGAL OFFICER | — |
| UNREIN LAWRENCE MARK | CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER, PRESIDENT; DIRECTOR/CHAIRMAN/CHIEF EXECUTIVE OFFICER/PRESIDENT/MANAGING DIRECTOR; DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER, PRESIDENT | — |
| SPECTOR WARREN | DIRECTOR | — |
| STEINBERG ROBERT MEYER | DIRECTOR | — |
| LANE JEFFREY BRUCE | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER, PRESIDENT, SENIOR MANAGING DIRECTOR | — |
| MARIN RICHARD ALBERT | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER, PRESIDENT, SENIOR MANAGING DIRECTOR; DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER, SENIOR MANAGING DIRECTOR | — |
| GEISSINGER JOHN WESLEY | CHIEF INVESTMENT OFFICER, SENIOR MANAGING DIRECTOR; DIRECTOR, CHIEF INVESTMENT OFFICER, SENIOR MANAGING DIRECTOR | — |
| GOVINDAN RAJAN | DIRECTOR, CHIEF OPERATING OFFICER, SENIOR MANAGING DIRECTOR | — |
| KELLER BARBARA A | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR; SECRETARY, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | — |
| SCUCCI MARY KAY | CHIEF FINANCIAL OFFICER, MANAGING DIRECTOR | — |
| GODIN LAURENCE SCOTT | GENERAL COUNSEL, EXECUTIVE VICE PRESIDENT, SENIOR MANAGING DIRECTOR | — |
| WURTH DOUGLAS CLARK | DIRECTOR/MANAGING DIRECTOR | — |
| LAFER LAWRENCE S | SECRETARY, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR; SECRETARY, COMPLIANCE OFFICER, MANAGING DIRECTOR | — |
| VICITAL LISA TERESA | DIRECTOR/MANAGING DIRECTOR | — |
| O'COMHRAI RONAN PADRAIG | CHIEF LEGAL OFFICER | — |
| METTELMAN NINA D | CHIEF COMPLIANCE OFFICER / VICE PRESIDENT; CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | — |
| SULLIVAN SHELLEY M | CHIEF FINANCIAL OFFICER/MANAGING DIRECTOR | — |
| MADSEN RICHARD T | CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR; CHIEF FINANCIAL OFFICER/MANAGING DIRECTOR; DIRECTOR/MANAGING DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-07-22 | regulatory | NEGLIGENT BREACH OF SUPERVISORY AND ORGANIZATIONAL DUTIES IN CONNECTION WITH INFRINGEMENTSOF SECTION 21 OF THE GERMAN SECURITIES TRADING ACT. | Final | $1.8M |
| 2020-09-29 | criminal | — | Final | — |
| 2020-09-29 | regulatory | THE CFTC ENTERED AN ORDER RESOLVING AN ACTION AGAINST JPMORGAN CHASE & CO., AN AFFILIATED BANK (THE "BANK") AND AN AFFILIATED BROKER-DEALER (THE "BROKER-DEALER") (COLLECTIVELY, "JPM"). ACCORDING TO THE ORDER, FROM AT LEAST 2008 THROUGH 2016, NUMEROUS TRADERS ON THE PRECIOUS METALS AND U.S. TREASURIE… | Final | $436.4M |
| 2017-01-03 | regulatory | THE INVESTIGATION CONCERNED ALLEGED MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. | Final | $98K |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") UNDER WHICH JPMC CONSENTED TO THE ENTRY OF AN ORDER (THE "ORDER") THAT FINDS THAT JPMC VIOLATED SECTIONS 13(B)(2)(A), 13(B)(2)(B) AND 30A OF THE SECURITIES EXCHANGE ACT O… | Final | — |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") RESULTING IN THE FRB ISSUING AN ORDER ("ORDER"). THE ORDER FINDS THAT FROM AT LEAST 2008 THROUGH 2013, JPMC'S ASIA-PACIFIC REGION INVESTMENT BANKING GROUP O… | Final | $61.9M |
| 2015-05-20 | criminal | ON MAY 20, 2015, THE DOJ FILED A CRIMINAL INFORMATION IN THE DISTRICT COURT CHARGING JPMC WITH A ONE COUNT CRIME CHARGE IN VIOLATION OF THE SHERMAN ANTITRUST ACT, 15 U.S.C. ? 1 (THE "INFORMATION"). THE INFORMATION CHARGES THAT, FROM JULY 2010 UNTIL AT LEAST JANUARY 2013, JPMC, THROUGH ONE OF ITS EUR… | Final | — |
| 2015-05-20 | regulatory | ON MAY 20, 2015, THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") ISSUED AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY AGAINST JPMORGAN CHASE & CO. ("JPMC") RELATING TO ITS FOREIGN EXCHANGE ("FX") ACTIVITIES ("ORDER") FROM 2008 THROUGH 2013. THE ORDER STAT… | Final | $342.0M |
| 2014-06-17 | regulatory | THE INVESTIGATION CONCERNED ALLEGED MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. | Final | $101K |