CONSULTING GROUP ADVISORY SERVICES LLC of PURCHASE, NY is an SEC-registered investment adviser (CRD 137463). Regulatory assets under management: $9.8B.
Compensation: % of AUM.
Clients served: Charities, Other.
Showing 25 of 49 people.
| Name | Role | Location |
|---|---|---|
| Paul Emmanuel Ricciardelli | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | — |
| Christopher Michael Scott-Hansen | DIRECTOR | — |
| Gary Ryan Roberts | CHIEF COMPLIANCE OFFICER | — |
| MCGRATH BRYAN PATRICK | VICE PRESIDENT | — |
| ROBERTS JOY R | CHIEF COMPLIANCE OFFICER | — |
| GALLAGHER PAUL FRANCIS | SECRETARY & CHIEF LEGAL OFFICER | — |
| GORMAN JAMES PATRICK | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| GELFAND JEFFREY ALLEN | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND DIRECTOR; DIRECTOR | — |
| KNAPP MATTHEW PAUL | CHIEF COMPLIANCE OFFICER | — |
| HESSLEIN LAURIE ANN | BOARD OF DIRECTOR; DIRECTOR | — |
| HATCH PAUL MARTIN | BOARD OF DIRECTOR, CHAIRMAN, CEO; DIRECTOR, CHAIRMAN, CEO | — |
| MANDEL ROBERT JAY | DIRECTOR, SECRETARY, CHIEF LEGAL OFFICER | — |
| NABHAN NORMAN EDWARD | PRESIDENT | — |
| BALDAUF ANDREW JOHN | DIRECTOR AND CHIEF COMPLIANCE OFFICER | — |
| FRIEDENRICH SCOTT HOWARD | TREASURER | — |
| PEASE LEROY THAYER | SENIOR VICE PRESIDENT | — |
| TRACY JAMES JOSEPH | BOARD OF DIRECTOR, CHAIRMAN, CEO; BOARD OF DIRECTOR, CHAIRMAN, CEO, & PRESIDENT; DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT (+1 more) | — |
| WALKER JAMES FRANCIS | CHIEF FINANCIAL OFFICER; DIRECTOR; VICE PRESIDENT | — |
| JOHNSTON CHARLES DEAN | PRESIDENT | — |
| GRAY AMY-BETH LOUISE | MANAGING DIRECTOR AND CHIEF ADMINISTRATIVE OFFICER | — |
| KAMLANI KUNAL SHAM | MANAGING DIRECTOR, CFO, CONTROLLER, ASSISTANT TREASURER | — |
| FURBER SARA H | CHIEF EXECUTIVE OFFICER AND PRESIDENT; CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR; DIRECTOR | — |
| FLEMING GREGORY J | PRESIDENT | — |
| GORDON STEPHEN MARC | CHIEF FINANCIAL OFFICER; DIRECTOR | — |
| ROSENTHAL JAMES ARTHUR | VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-03-06 | regulatory | THE HELLENIC CAPITAL MARKET COMMISSION (HCMC) ALLEGED THAT MORGAN STANLEY COMMITTED MARKET MANIPULATION PURSUANT TO ARTICLE 7,PAR. 2(C) OF LAW 3340/2005 BY DISCLOSING THAT THE FIRM, THROUGH VARIOUS SUBSIDIARIES, HAD ACQUIRED MORE THAN 5% OF ALPHA BANK,HOWEVER 4.16% OF THE HOLDING WAS HELD BY A SUBSI… | On Appeal | $53K |
| 2016-02-11 | regulatory | THE ILLINOIS ATTORNEY GENERAL'S OFFICE ("ILAG") ALLEGED THAT MORGAN STANLEY VIOLATED ILLINOIS LAW IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGE-BACKED SECURITIES BETWEEN 2002 AND 2008. | Final | $22.5M |
| 2016-02-11 | regulatory | THE U.S. DEPARTMENT OF JUSTICE ALLEGED THAT MORGAN STANLEY VIOLATED FEDERAL LAWS IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGEBACKED SECURITIES BETWEEN 2005 AND 2007. | Final | $2.6B |
| 2016-02-11 | regulatory | THE NEW YORK ATTORNEY GENERAL'S OFFICE ("NYAG") ALLEGED THAT MORGAN STANLEY VIOLATED NEW YORK LAW IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGE-BACKED SECURITIES BETWEEN 2006 AND 2007. | Final | $150.0M |
| 2014-08-21 | regulatory | HCMC ALLEGED THAT MS FAILED TO PROPERLY OR TIMELY REPORT WHEN MS HOLDINGS IN CERTAIN COMPANIES INCREASED OR DECREASED BY MORE THAN 3%, OR EXCEEDED OR FELL BELOW 5%, 10% AND 15% THRESHOLDS, AS REQUIRED BY GREEK PRESIDENTIAL DECREE PD 51/1992 AND LAW 3556/2007. | Final | $71K |