NINE MASTS CAPITAL LIMITED

NINE MASTS CAPITAL LIMITED of HONG KONG is an SEC exempt reporting adviser (CRD 162024).

Registration

Officers, owners & control persons (12)

NameRoleLocation
Bing WangDIRECTOR AND CHIEF INVESTMENT OFFICER; SHAREHOLDERCentral, K3
Ron Armin SchachterPORTFOLIO MANAGEMENT
Irene Erika BackenhornCHIEF COMPLIANCE OFFICER
Trevor Kiaran Ka-Chi LiCHIEF FINANCIAL OFFICER
Paras Brent BarnettTRUSTEE OF THE ROSSA TRUST
DAVIS CATHERINE ELIZABETHCHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER
SCHACHTER RON ARMINPORTFOLIO MANAGEMENT
Backenhorn Irene Erika IrinaCHIEF COMPLIANCE OFFICER
WANG BINGDIRECTOR AND CHIEF INVESTMENT OFFICER; SHAREHOLDER
DAVIS ELAINECHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER
SCHACHTER RON APORTFOLIO MANAGEMENT; PORTFOLIO MANAGER
TU JAMES XINJUNPORTFOLIO MANAGEMENT; SENIOR PORTFOLIO MANAGER

Disclosures (6)

InitiatedTypeAllegationsStatusAmount
2019-04-29regulatoryLATE TO DELIVER SHORT SALE OF 1 LISTED EQUITY BY 1 DAYFinal$41K
2019-04-18regulatoryFAILURE TO DELIVER SHORT SALE OF 1 LISTED EQUITYFinal$153K

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