CAXTON ASSOCIATES (USA) LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 132823). Regulatory assets under management: $4.6B.
Compensation: % of AUM, Performance, Other.
Clients served: Investment cos.
Showing 25 of 43 people.
| Name | Role | Location |
|---|---|---|
| Matthew Duncan Wade | CHIEF OPERATING OFFICER, CHIEF RISK OFFICER AND MANAGER | — |
| Efstathios Metsovitis | MANAGER | — |
| Benjamin Stephan Ohly | CHIEF COMPLIANCE OFFICER | London, X0 |
| Alexander Michael Underwood | GENERAL COUNSEL; GENERAL COUNSEL AND MANAGER | — |
| Chanelle Lorraine Nicholls | CHIEF FINANCIAL OFFICER | — |
| Andrew Eric Law | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER | — |
| Felix Schiesari Turton | MANAGER | — |
| MEHRA AJAY | CHIEF COMPLIANCE OFFICER; DEPUTY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| KOVNER BRUCE STANLEY | CHAIRMAN; CHAIRMAN & CHIEF EXECUTIVE OFFICER; SOLE SHAREHOLDER | — |
| DANGELO PETER PAUL | PRESIDENT; PRESIDENT & LIMITED PARTNER | — |
| FORBES JOHN GEORGE | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER & CHIEF OPERATING OFFICER; MANAGER | — |
| BERNSTEIN SCOTT BENNETT | GENERAL COUNSEL & SECRETARY; GENERAL COUNSEL & SECRETARY & CHIEF COMPLIANCE OFFICER; MANAGER (+4 more) | — |
| SAPERSTEIN ROBERT ANDREW | CHIEF COMPLIANCE OFFICER | — |
| UNDERWOOD ETHAN MICHAEL | GENERAL COUNSEL | — |
| LAW ANDREW ERIC | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER; CHIEF INVESTMENT OFFICER; CHIEF INVESTMENT OFFICER & LIMITED PARTNER (+2 more) | — |
| ANDERSON SIMON | CHIEF FINANCIAL OFFICER; MANAGER | — |
| FEUERMAN KURT ANDREW | SENIOR MANAGING DIRECTOR; SENIOR MANAGING DIRECTOR & LIMITED PARTNER | — |
| SHAW DAREN JAMES | CHIEF ADMINISTRATIVE OFFICER AND CHIEF COMPLIANCE OFFICER; MANAGER | — |
| OSWALD JENNIFER MARGARET ANNE | MANAGER | — |
| WADE MATTHEW DUNCAN | CHIEF OPERATING OFFICER AND CHIEF RISK OFFICER; CHIEF OPERATING OFFICER, CHIEF RISK OFFICER AND LIMITED PARTNER; MANAGER | — |
| CROWLEY HELEN ANNE | MANAGER | — |
| MOSKATEL JEFFREY | CHIEF COMPLIANCE OFFICER | — |
| TOWERS KEN | GENERAL COUNSEL; MANAGER | — |
| LLOYD RHIAN | GENERAL COUNSEL; MANAGER | — |
| NEWBOLD NATASHA | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-07-20 | regulatory | IN MAY OF 2014, CAXTON INTERNATION LIMITED SUBSCRIBED FOR A TOTAL OF 16,000,000 SHARES OF A SECONDARY OFFERING OF THE NATIONAL BANK OF GREECE SA, A GREEK LISTED ISSUER ("NBG"). THE TRADE DATE FOR THIS TRANSACTION WAS MAY 5, 2014, WITH A SETTLEMENT DATE OF MAY 19, 2014, AND THE NBG SHARES STARTED TRA… | On Appeal | $113K |
| 2017-07-20 | regulatory | ON 5 MAY 2014, CAXTON INTERNATIONAL LIMITED SUBSCRIBED FOR A TOTAL OF 16,000,000 SHARES OF A SECONDARY OFFERING OF THE NATIONAL BANK OF GREECE SA, A GREEK LISTED ISSUER ("NBG"). THE TRADE DATE FOR THIS TRANSACTION WAS MAY 5, 2014, WITH A SETTLEMENT DATE OF MAY 19, 2014, AND THE NBG SHARES STARTED TR… | Final | $113K |