BLACKROCK INVESTMENT MANAGEMENT (UK) LIMITED of LONDON is an SEC exempt reporting adviser (CRD 162379). This firm reports disciplinary history on Form ADV.
Showing 25 of 42 people.
| Name | Role | Location |
|---|---|---|
| Nicholas John Gibson | CHIEF COMPLIANCE OFFICER | — |
| Colin Alistair Mcdonald | CHIEF FINANCIAL OFFICER | — |
| Justine Clair Anderson | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER AND DIRECTOR | — |
| Rachel Lord | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| Nicholas James Charrington | DIRECTOR | — |
| Eleanor Judith De Freitas | DIRECTOR | — |
| Margaret Anne Young | DIRECTOR | — |
| Christian Clausen | DIRECTOR | — |
| HART JOHN FRANCIS | CHIEF OPERATING OFFICER,DIRECTOR | — |
| HALL TIMOTHY JULIAN DALTON | DIRECTOR | — |
| DE CRISTO PHILLIP J | DIRECTOR | — |
| OLSON JOHN MICHAEL | CHIEF OPERATING OFFICER; DIRECTOR | — |
| MCMAHON ENDA THOMAS | CHIEF COMPLIANCE OFFICER | — |
| GIBSON ANDREW JOHN | CHIEF COMPLIANCE OFFICER | — |
| PRICE QUINTIN RUPERT SALTER | CHIEF INVESTMENT OFFICER; CHIEF INVESTMENT OFFICER, DIRECTOR | — |
| THOMSON COLIN ROY | CHIEF FINANCIAL OFFICER, DIRECTOR | — |
| DESMARAIS JAMES FENELON | GENERAL COUNSEL; GENERAL COUNSEL, DIRECTOR | — |
| CHARRINGTON NICHOLAS JAMES | DIRECTOR | — |
| CRAIN ANDREW | CHIEF COMPLIANCE OFFICER | — |
| PRIDEAUX CHARLES CHRISTOPHER | DIRECTOR | — |
| LINHARES JOSEPH MARK THOMAS | DIRECTOR | — |
| WEBB RICHARD MICHAEL | DIRECTOR | — |
| FISHWICK JAMES EDWARD | DIRECTOR | — |
| NAYLOR MARK JEREMY MELVILLE | DIRECTOR | — |
| TOOZE ROGER CLARK | DIRECTOR | — |
Showing 10 of 23 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-02-03 | civil | ON FEBRUARY 3, 2026, A PUTATIVE SECURITIES CLASS ACTION LAWSUIT WAS FILED IN THE UNITED STATES DISTRICT COURT FOR THE CENTRAL DISTRICT OF CALIFORNIA. THE COMPLAINT NAMES BLACKROCK TCP CAPITAL CORP AND CERTAIN OF ITS CURRENT AND FORMER EXECUTIVE OFFICERS AS DEFENDANTS. THE COMPLAINT PURPORTS TO BE BR… | Pending | — |
| 2025-01-09 | regulatory | ON JANUARY 9, 2025, THE COMISIÓN NACIONAL BANCARIA Y DE VALORES ("CNBV") IMPOSED A FINE OF APPROXIMATELY $123,000 USD (MNX $2,501,720) REGARDING THE ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING PROGRAM AT BLACKROCK'S MEXICO CITY OFFICE. SPECIFICALLY, THE CNBV FOUND THAT BLACKROCK MEXICO DID… | Final | $123K |
| 2025-01-09 | regulatory | ON JANUARY 9, 2025, THE COMISION NACIONAL BANCARIA Y DE VALORES ("CNBV") IMPOSED A FINE OF APPROXIMATELY $123,000 USD (MNX $2,501,720) REGARDING THE ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING PROGRAM AT BLACKROCK'S MEXICO CITY OFFICE. SPECIFICALLY, THE CNBV FOUND THAT BLACKROCK MEXICO DID… | Final | $123K |
| 2024-11-27 | civil | ON NOVEMBER 27, 2024, TEXAS ATTORNEY GENERAL KEN PAXTON AND ATTORNEYS GENERAL FROM 10 OTHER STATES (ALABAMA, ARKANSAS, INDIANA, IOWA, KANSAS, MISSOURI, MONTANA, NEBRASKA, WEST VIRGINIA, AND WYOMING) FILED A COMPLAINT AGAINST BLACKROCK, VANGUARD, AND STATE STREET (THE "MANAGERS") ALLEGING THAT THE MA… | Pending | — |
| 2024-08-22 | regulatory | ON AUGUST 22, 2024, THE INDIANA SECURITIES COMMISSIONER (THE "COMMISSIONER") ISSUED A CEASE AND DESIST ORDER (THE "ORDER") AGAINST BLACKROCK, INC. AND SEVERAL OF ITS ADVISORY AFFILIATES, (COLLECTIVELY, "BLACKROCK"). THE ORDER ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS ABOUT HOW WE MANAGE… | Pending | — |
| 2024-03-27 | regulatory | ON MARCH 27, 2024, BLACKROCK, INC., BLACKROCK INVESTMENTS, LLC, BLACKROCK ADVISORS, LLC, BLACKROCK FUND ADVISORS, AND ISHARES TRUST (COLLECTIVELY, "BLACKROCK") WERE SERVED WITH A SUMMARY CEASE AND DESIST ORDER AND NOTICE OF INTENT TO IMPOSE ADMINISTRATIVE PENALTY FROM THE MISSISSIPPI SECRETARY OF ST… | Pending | — |
| 2024-03-27 | regulatory | ON MARCH 27, 2024, BLACKROCK, INC., BLACKROCK INVESTMENTS, LLC, BLACKROCK ADVISORS, LLC, BLACKROCK FUND ADVISORS, AND ISHARES TRUST (COLLECTIVELY, "BLACKROCK") WERE SERVED WITH A SUMMARY CEASE AND DESIST ORDER AND NOTICE OF INTENT TO IMPOSE ADMINISTRATIVE PENALTY FROM THE MISSISSIPPI SECRETARY OF ST… | Final | — |
| 2023-12-18 | civil | ON DECEMBER 18, 2023, THE TENNESSEE ATTORNEY GENERAL ("AG") SUED BLACKROCK, INC. IN TENNESSEE STATE COURT FOR ALLEGED VIOLATIONS OF TENNESSEE'S CONSUMER PROTECTION STATUTE IN CONNECTION WITH OUR ESG PRACTICES. THE COMPLAINT GENERALLY ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS IN FUND PROS… | Final | — |
| 2023-06-06 | regulatory | FAILURE TO COMPLY WITH CERTAIN REGULATIONS APPLICABLE TO THE MANAGEMENT OF MUTUAL FUNDS AND THE PROVISION OF INVESTMENT ADVISORY SERVICES IN BLACKROCK'S MEXICO CITY OFFICE. | Final | $164K |
| 2021-12-20 | regulatory | ACCORDING TO THE SEC ORDER, GIM (I) DID NOT OFFSET FROM APPLICABLE MANAGEMENT FEES ELIGIBLE FEES PAID TO IT BY A FUND PORTFOLIO COMPANY, (II) DID NOT OFFSET FROM APPLICABLE MANAGEMENT FEES THE FULL AMOUNT IT OWED A FUND'S LIMITED PARTNERS IN CONNECTION WITH ELIGIBLE FEES IT COLLECTED FROM A FUND POR… | Final | $4.5M |