AXIOM INVESTMENT MANAGEMENT LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 141516). Regulatory assets under management: $236.8M.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Liam Francis Dalton | CEO, MANAGING MEMBER, CHAIRMAN, COMPTROLLER | — |
| Eric Lee Miller | CHIEF COMPLIANCE OFFICER | — |
| Maria Dichiara | DIRECTOR OF OPERATIONS | — |
| DALTON LIAM FRANCIS | CEO; CEO, MANAGING MEMBER, CHAIRMAN, COMPTROLLER; CEO, MEMBER (+2 more) | — |
| MAKSUDIAN WILLIAM | COMPTROLLER | — |
| MARTINO MARK DAVID | CEO, MANAGING MEMBER; CEO, MEMBER; PRESIDENT (+1 more) | — |
| WILSON MARIA | CHIEF COMPLIANCE OFFICER | — |
| MILLER ERIC LEE | CHIEF COMPLIANCE OFFICER | — |
| WILSON MARIA NMN | CHIEF COMPLIANCE OFFICER | — |
| DICHIARA MARIA | DIRECTOR OF OPERATIONS | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2010-02-22 | regulatory | IT IS ALLEGED THAT AXIOM CAPITAL MANAGEMENT FAILED TO REASONABLY TO SUPERVISE A FORMERLY ASSOCIATED REGISTERED REPRESENTATIVE, IN CONNECTION WITH HIS SALE OF PRIVATE PLACEMENT OFFERINGS AND PRIVATE ISSUANCES OF PUBLIC ENTITIES FROM APPROXIMATELY JANUARY 2005 THROUGH AT LEAST SEPTEMBER 2006. THE REPR… | Final | $60K |
| 2007-05-09 | regulatory | FROM 1/1/05-1/4/06, AXIOM FAILED TO DESIGNATE A CROP WHILE ENGAGING IN OPTIONS TRADING, WHO HAD NO SALES FUNCTIONS. FROM 2/6/04-9/2/05 AXIOM FAILED TO MAINTAIN MUNICIPAL SECURITIES ORDER MEMORANDA CONTAINING THE REQUIRED TIME STAMPS AND IN 25 MUNICIPAL ORDER TICKETS AXIOM FAILED TO RECORD THE TIME O… | Final | $10K |
| 2006-08-30 | regulatory | FROM 7/1/03-9/30/04, AXIOM CAPITAL MANAGEMENT, INC. TRANSMITTED TO OATS REPORTS THAT CONTAINED INNACCURATE, INCOMPLETE OR IMPROPERLY FROMATTED DATE IN THAT IT REPORTED TO OATS ROUTE OR COMBINED ORDER/ROUTE REPORTS THAT THE OATS SYSTEM WAS UNABLE TO LINK TO THE RELATED ORDER IN SUPERMONTAGE OR SELECT… | Final | $6K |
| 2004-05-04 | regulatory | DISCLOSURE OF COMMISSIONS AND TIME STAMPING TRANSACTIONS | Final | $15K |
| 2002-01-31 | regulatory | NOVEMBER 20, 2000 THROUGH NOVEMBER 28, 2000 60 ORDERS FAILED TO RECORD THE ACCURATE ORDER EXECUTION TIMES. NOVEMBER 20, 2000 THROUGH NOVEMBER 27, 2000 THE FIRM FAILED TO PROPERLY REPORT 11 SHORT SALES THROUGH THE AUTOMATED TRANSACTION SERVICE BY LEAVING OFF THE SHORT SALE MODIFER. | Final | $6K |
| 1997-12-04 | regulatory | ALLEGATIONS OF VIOLATIONS: CONNECTICUT UNIFORM SECURITIES ACT SECTION 36(B), UNREGISTERED AGENT OFFERED UNREGISTERED SECURITY, FAILURE TO APPEAR OR PRODUCE DOCUMENTS THROUGH COUNSEL. DURING 01-09 TO 09-15 SUSUPENSION FIRM FAILED TO IMPLEMENT PROCEDURES REASONABLY DESIGNED TO ENSURE COMPLIANCE WITH O… | Final | $35K |
| 1995-04-06 | regulatory | EMPLOYMENT AS A CONSULTANT AND SECRETARY OF AN INDIVIDUAL SUBJECT TO A STATUTORY DISQUALIFICATION. NO ACTUAL OR ALLEGED DAMAMGES OR CLAIMS. | Final | $8K |