1832 ASSET MANAGEMENT U.S. INC.

1832 ASSET MANAGEMENT U.S. INC. of TORONTO, ONTARIO is an SEC-registered investment adviser (CRD 120836). Regulatory assets under management: $1.4B.

Registration

Business model

Compensation: % of AUM, Performance.

Clients served: High net worth, Pooled vehicles.

Officers, owners & control persons (29)

Showing 25 of 29 people.

NameRoleLocation
Joseph L GregoryCHIEF FINANCIAL OFFICERLittle Rock, AR
Gregory JosephCHIEF FINANCIAL OFFICERMIAMI, FL
JOHN PEREIRADIRECTORGreat Falls, VA
Todd Winston FlickDIRECTOR AND CHIEF EXECUTIVE OFFICER
Dana Robyn BanksCHIEF COMPLIANCE OFFICER
Nathalie Therese Pierre-LouisDIRECTOR
PEPALL JILL DIAMONDDIRECTOR, CIO
TUCKWELL MARY CATHERINECHIEF COMPLIANCE OFFICER; DIRECTOR, CHIEF COMPLIANCE OFFICER
PEREIRA JOHNDIRECTOR
VARAO JOHN TONYCIO; PRESIDENT / CEO / CIO
JALASJAA TUULA JANICEMANAGING DIRECTOR; PRESIDENT & CEO
CARCHIDI BRUNOCHIEF COMPLIANCE OFFICER
MILLS WESLEY GLEN SAMUELCHIEF INVESTMENT OFFICER
WELLING CATHERINE ANNEMANAGING DIRECTOR
STRIZIC DERRICK DDIRECTOR, PRESIDENT & CEO
BRIGHT JOHN ROBERTDIRECTOR; MANAGING DIRECTOR
STROFOLINO JULIE PATRICIAASSISTANT GENERAL MANAGER, FINANCE
JENTSCH DIETER WERNERDIRECTOR, PRESIDENT AND CEO
HENRY PETER DOUGLAS MMANAGING DIRECTOR
MILLS DOUGLAS ALAN STUARTDIRECTOR, PRESIDENT & CEO
MCINTYRE RICHARDPRESIDENT / CEO
CHILCOTT JORDY WARRENDIRECTOR
CAUSARANO MARIO RICHARDPRESIDENT
MARTIL MICHEL DENVERCHIEF FINANCIAL OFFICER
CAUSARANO MARIO ROMANCHIEF EXECUTIVE OFFICER AND DIRECTOR; PRESIDENT AND DIRECTOR

Disclosures (30)

InitiatedTypeAllegationsStatusAmount
2024-09-25regulatoryTHE ALLEGATIONS RELATE TO A FAILURE TO TIMELY FILE BENEFICIAL OWNERSHIP REPORTING REQUIREMENTS UNDER SECTION 13(D) OF THE EXCHANGE ACT AND THE RULES PROMULGATED THEREUNDER. THESE RULES REQUIRE ANY PERSON WHO DIRECTLY OR INDIRECTLY ACQUIRES BENEFICIAL OWNERSHIP OF MORE THAN 5% OF A REGISTERED CLASS O…Final$375K
2023-05-11regulatoryON MAY 11, 2023, THE BANK OF NOVA SCOTIA ("BNS") SETTLED AN ENFORCEMENT ACTION WITH THE CFTC FOR VIOLATIONS OF THE COMMODITY EXCHANGE ACT (THE "ACT") AND COMMISSION REGULATIONS. THE CFTC ISSUED AN ORDER FINDING THAT BNS EMPLOYEES HAD COMMUNICATED BOTH INTERNALLY AND EXTERNALLY REGARDING BNS'S COMMOD…Final$15.0M
2020-08-19regulatoryON AUGUST 19, 2020, THE BANK OF NOVA SCOTIA ("BNS") SETTLED THREE RELATED ENFORCEMENT ACTIONS WITH THE CFTC FOR VIOLATIONS OF THE COMMODITY EXCHANGE ACT (THE "ACT") AND COMMISSION REGULATIONS. THE CFTC ISSUED THREE ORDERS, FILING AND SETTLING CHARGES AGAINST BNS FOR SPOOFING (THE "SPOOFING ORDER"),…Final$50.0M
2020-08-19criminalAS DESCRIBED IN THE STATEMENT OF FACTS ATTACHED TO THE DPA, FROM APPROXIMATELY JANUARY 2008 TO JULY 2016, FOUR PRECIOUS METALS TRADERS LOCATED IN NEW YORK, LONDON, AND HONG KONG, ENGAGED IN FRAUDULENT AND MANIPULATIVE TRADING PRACTICES IN CONNECTION WITH THE PURCHASE AND SALE OF GOLD AND SILVER FUTU…Final
2018-09-28regulatoryDURING THE PERIOD FROM AT LEAST JUNE 2013 THROUGH JUNE 2016, BANK OF NOVA SCOTIA, BY AND THROUGH TRADERS ON ITS PRECIOUS METALS TRADING DESK, ENGAGED IN THE DISRUPTIVE TRADING PRACTICE OF "SPOOFING" (BIDDING OR OFFERING WITH THE INTENT TO CANCEL THE BID OR OFFER BEFORE EXECUTION) IN GOLD AND SILVER…Final$800K

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