MANAGED ACCOUNT ADVISORS LLC of JERSEY CITY, NJ is an SEC-registered investment adviser (CRD 142558). Regulatory assets under management: $995.0B.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Charities.
Showing 25 of 55 people.
| Name | Role | Location |
|---|---|---|
| Matthew Scott Ball | VICE PRESIDENT AND CHIEF OPERATING OFFICER | — |
| John Joseph Capelli | PRESIDENT AND DIRECTOR | — |
| Julie Brackett Lyman | CHIEF LEGAL OFFICER | — |
| Carlos Alberto Torres | CHIEF COMPLIANCE OFFICER | — |
| Timothy Peter Ryan | CHIEF FINANCIAL OFFICER | — |
| Mark A Granshaw | DIRECTOR | — |
| Antony E Ghee | DIRECTOR | — |
| Nancy Monir Fahmy | DIRECTOR | — |
| Michael John Pelzar | DIRECTOR | — |
| Kurt Daniel Mancini | DIRECTOR | — |
| COX MITCHELL MORGAN | DIRECTOR | — |
| RYAN MICHAEL PETER | CHIEF FINANCIAL OFFICER | — |
| PERRY PAUL ANDREW | PRESIDENT; PRESIDENT AND DIRECTOR | — |
| FUCCILE MICHAEL JOHN | CHIEF COMPLIANCE OFFICER | — |
| BYRNE MARTIN G | CHIEF LEGAL OFFICER | — |
| HILLMAN JAMES EDWARD | VICE PRESIDENT AND TREASURER | — |
| MULLIGAN EUGENE M | CHIEF OPERATING OFFICER; PRESIDENT AND DIRECTOR; PRESIDENT, DIRECTOR AND CHIEF OPERATING OFFICER (+1 more) | — |
| BODURTHA STEPHEN GEORGE | DIRECTOR | — |
| HULL BRIAN PATRICK | DIRECTOR | — |
| BALDAUF ANDREW JOHN | CHIEF COMPLIANCE OFFICER | — |
| BAILEY VICKI LYNN | DIRECTOR | — |
| SHEPARD BELINDA J | DIRECTOR | — |
| PELZAR MICHAEL JOHN | DIRECTOR | — |
| MULLIGAN EUGENE MICHAEL | PRESIDENT AND DIRECTOR | — |
| GRECO GLORIA REGINA | CHIEF COMPLIANCE OFFICER | — |
Showing 10 of 31 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-08-22 | regulatory | THE BUNDESANSTALT FUR FINANZDIENSTLEISTUNGSAUFSICHT (BAFIN) APPROVED THE IMPOSITION OF AN ADMINISTRATIVE FINE ON BANK OF AMERICA CORPORATION FOR FAILURE TO TAKE THE SUPERVISORY AND ORGANISATIONAL MEASURES THAT WOULD HAVE BEEN REQUIRED IN ORDER TO ENSURE THE CORRECT AND COMPLETE SUBMISSION OF VOTING… | Final | $5.1M |
| 2019-04-11 | regulatory | THE BANGKO SENTRAL NG PILIPINAS (BSP) APPROVED THE IMPOSITION OF A MONETARY PENALTY ON THE FIRM FOR NON-COMPLIANCE WITH THE 100.0 PERCENT EXPANDED/FOREIGN CURRENCY DEPOSIT UNIT (E/FCDU) ASSET COVER REQUIREMENT. | Final | $19K |
| 2019-02-25 | regulatory | THE RESERVE BANK OF INDIA ("RBI") ALLEGED THAT THE FIRM'S RECONCILIATION OF LOGS GENERATED FROM SWIFT WAS NOT SUFFICIENT AND VIOLATED THE DIRECTION OF THE RBI. | Final | $145K |
| 2018-09-19 | regulatory | THE U.S. COMMODITY FUTURES TRADING COMMISSION (CFTC) ALLEGED THAT, ON OCCASION FROM JANUARY 2007 THROUGH DECEMBER 2012, THE FIRM, BY AND THROUGH CERTAIN OF ITS TRADERS, ATTEMPTED TO MANIPULATE THE U.S. DOLLAR INTERNATIONAL SWAPS AND DERIVATIVES ASSOCIATION FIX (USD ISDAFIX), A BENCHMARK RELATED TO I… | Final | $30.0M |
| 2018-04-23 | regulatory | THE BAFIN ALLEGED THAT NECESSARY AND REASONABLE SUPERVISORY AND ORGANIZATIONAL MEASURES WHICH COULD HAVE ENSURED THE CORRECT AND COMPLETE SUBMISSION OF VOTING RIGHTS NOTIFICATIONS WITHIN THE TIME STIPULATED WERE NOT TAKEN ON TIME OR TO THE ADEQUATE EXTENT BY THE COMPANY CONCERNED, WHICH LED TO VIOLA… | Final | $1.6M |
| 2018-03-22 | regulatory | THE ATTORNEY GENERAL OF THE STATE OF NEW YORK INVESTOR PROTECTION BUREAU ALLEGED THAT BANK OF AMERICA CORPORATION (BAC) AND THE FIRM (1) CONCEALED FROM ITS INSTITUTIONAL CLIENTS THAT ORDERS WERE ROUTED TO AND EXECUTED BY "ELECTRONIC LIQUIDITY PROVIDERS," (2) MISSTATED THE COMPOSITION OF ORDERS AND T… | Final | $42.0M |
| 2017-11-28 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION OF THE PHILIPPINES ("PHILIPPINES SEC") ALLEGED THAT THE FIRM DID NOT MEET CERTAIN REPORTING REQUIREMENTS IN THE PHILIPPINES REGARDING ITS REGIONAL AREA HEADQUARTERS ("RHQ"), WHICH HAD NOT ENGAGED IN ANY OPERATIONS IN THE PHILIPPINES FOR DECADES AND DID NOT PLAN… | Final | — |
| 2017-11-13 | regulatory | THE OFFICE OF ANTIBOYCOTT COMPLIANCE, BUREAU OF INDUSTRY AND SECURITY, U.S. DEPARTMENT OF COMMERCE ("BIS") ALLEGED, AS SET FORTH IN A PROPOSED CHARGING LETTER, THAT BANK OF AMERICA N.A. ("BOFA"), ON THIRTEEN OCCASIONS, VIOLATED THE EXPORT ADMINISTRATION REGULATIONS (CURRENTLY CODIFIED AT 15 C.F.R. 7… | Final | $45K |
| 2017-09-26 | regulatory | THE BANGKO SENTRAL NG PILIPINAS (BS") APPROVED THE IMPOSITION OF A MONETARY PENALTY ON THE FIRM FOR THE FOLLOWING VIOLATIONS OF THE MANUAL OF REGULATIONS ON FOREIGN EXCHANGE TRANSACTIONS: DEFICIENCY IN E/FOREIGN CURRENCY DEPOSIT UNIT (FCDU) ASSET COVER REQUIREMENT, FALSE/ERRONEOUS CERTIFICATION OF C… | Final | $1.3M |
| 2015-06-29 | regulatory | ON JUNE 29, 2015, THE COMPTROLLER OF THE CURRENCY ("OCC") ISSUED A CONSENT ORDER AND A CONSENT ORDER FOR A CIVIL MONEY PENALTY (TOGETHER, THE "ORDERS") AGAINST BANK OF AMERICA, N.A. ("BANA") RELATING TO THE BANA'S PRACTICES THAT RESULTED IN VIOLATIONS OF THE NATIONAL FLOOD INSURANCE ACT OF 1968, AS… | Final | $1.1M |