GLAZER CAPITAL, LLC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 136932). Regulatory assets under management: $6.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Mark Ort | MEMBER, PORTFOLIO MANAGER | New York, NY |
| Paul Jay Glazer | MANAGING MEMBER, PRESIDENT, CEO, CIO | — |
| David Alexander Barlow | CHIEF OPERATING OFFICER | — |
| Megan Michelle Sinclair | CHIEF FINANCIAL OFFICER | — |
| Lisa B Glazer | TRUSTEE | — |
| Reid Boylston Adams | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | — |
| GLAZER PAUL JAY | MANAGING MEMBER, PRESIDENT, CEO, CIO; PRESIDENT, CEO, CFO, COO, CLO, CCO; PRESIDENT, CEO, CIO (+1 more) | — |
| BARLOW DAVID ALEXANDER | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER (+1 more) | — |
| ORT MARK | MEMBER, PORTFOLIO MANAGER; PRINCIPAL, PORTFOLIO MANAGER | — |
| ZADOURIAN KEVIN S MI ONLY | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| MITTAL VIKAS K | MEMBER, PORTFOLIO MANAGER; PRINCIPAL, PORTFOLIO MANAGER | — |
| CHANG DAYSUN SUN | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | — |
| Sinclair Megan Michelle | CHIEF FINANCIAL OFFICER | — |
| Glazer Lisa B | TRUSTEE | — |
| ADAMS REID BOYLSTON | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | — |
| Lisa B. Glazer | TRUSTEE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-24 | regulatory | IN SEPTEMBER 2024, GLAZER CAPITAL ENTERED A SETTLEMENT WITH THE SEC AND CONSENTED TO THE ENTRY OF AN ORDER (THE "ORDER") FINDING THAT GLAZER CAPITAL DID NOT ADHERE TO APPLICABLE RECORDKEEPING PROVISIONS OF THE FEDERAL SECURITIES LAWS BY FAILING TO MAINTAIN AND PRESERVE CERTAIN OFF-CHANNEL COMMUNICAT… | Final | $2.0M |