MANGROVE PARTNERS IM, LLC of GREENWICH, CT is an SEC-registered investment adviser (CRD 162296). Regulatory assets under management: $2.7B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Nathaniel Hall August | PRESIDENT | — |
| Ward Thomas Dietrich | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | — |
| DIETRICH WARD THOMAS | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER - MANGROVE CAPITAL | — |
| ROSS ROBERT | PARTNER, SENIOR ANALYST | — |
| AUGUST NATHANIEL HALL | PRESIDENT; PRESIDENT - MANGROVE CAPITAL | — |
| KALICKA JEFFREY STEVEN | DIRECTOR OF RESEARCH; DIRECTOR OF RESEARCH - MANGROVE CAPITAL; SENIOR ANALYST (+1 more) | — |
| STECK BRIAN GERARD | MANAGING DIRECTOR; MANAGING DIRECTOR - MANGROVE CAPITAL; SENIOR ANALYST (+1 more) | — |
| LEE PHILP SAN | SENIOR ANALYST; SENIOR ANALYST - MANGROVE CAPITAL | — |
| Palese Kimberly Lynn-Marie | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-09-30 | regulatory | ACCORDING TO REQUIREMENTS IMPOSED BY THE FINANCIAL SUPERVISORY AUTHORITY OF NORWAY ("FSA NORWAY") RELATED TO THE EUROPEAN SECURITIES MARKETS AUTHORITY EU REGULATION ON SHORT SELLING, THE MANGROVE PARTNERS MASTER FUND, LTD. (THE "CAYMAN MASTER") REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAP… | Final | — |
| 2018-02-12 | regulatory | ACCORDING TO REQUIREMENTS IMPOSED BY THE SWEDISH FINANCIAL SUPERVISION AUTHORITY ("SWEDISH FI") RELATED TO THE EUROPEAN SECURITIES MARKETS AUTHORITY EU REGULATION ON SHORT SELLING, THE MANGROVE PARTNERS MASTER FUND, LTD. (THE "CAYMAN MASTER") REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPIT… | Final | $2K |
| 2018-02-12 | regulatory | ACCORDING TO REQUIREMENTS IMPOSED BY THE SWEDISH FINANCIAL SUPERVISION AUTHORITY ("SWEDISH FI") RELATED TO THE EUROPEAN SECURITIES MARKETS AUTHORITY EU REGULATION ON SHORT SELLING, THE MANGROVE PARTNERS MASTER FUND, LTD. (THE "CAYMAN MASTER") REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPIT… | Final | $2K |
| 2018-02-12 | regulatory | ACCORDING TO REQUIREMENTS IMPOSED BY THE SWEDISH FINANCIAL SUPERVISION AUTHORITY ("SWEDISH FI") RELATED TO THE EUROPEAN SECURITIES MARKETS AUTHORITY EU REGULATION ON SHORT SELLING, THE MANGROVE PARTNERS MASTER FUND, LTD. (THE "CAYMAN MASTER") REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPIT… | Final | $620 |
| 2018-02-12 | regulatory | ACCORDING TO REQUIREMENTS IMPOSED BY THE SWEDISH FINANCIAL SUPERVISION AUTHORITY ("SWEDISH FI") RELATED TO THE EUROPEAN SECURITIES MARKETS AUTHORITY EU REGULATION ON SHORT SELLING, THE MANGROVE PARTNERS MASTER FUND, LTD. (THE "CAYMAN MASTER") REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPIT… | Final | $1K |