FORMULA GROWTH LIMITED of MONTREAL is an SEC-registered investment adviser (CRD 163245). Regulatory assets under management: $343.5M.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Randall William Kelly | DIRECTOR; SHAREHOLDER | — |
| Anthony Taylor Staples | DIRECTOR | — |
| Argirios John Kiriazidis | COO/CCO/DIRECTOR | — |
| Nelson Nmn Cheung | DIRECTOR | — |
| James Brodie Sinclair | DIRECTOR | — |
| Cameron Michael Phelps Fortin | DIRECTOR | — |
| KELLY BRIAN WILLIAM | DIRECTOR; SHAREHOLDER | — |
| KELLY THOMAS W | DIRECTOR | — |
| LIDDY JOHN PHILIP | DIRECTOR; SHAREHOLDER | — |
| Kiriazidis Argirios John | CCO/DIRECTOR; COO/CCO/DIRECTOR | — |
| STAPLES ANTHONY TAYLOR | DIRECTOR | — |
| Cheung Nelson NMN | DIRECTOR | — |
| Gentile Michael Anthony | DIRECTOR | — |
| SINCLAIR JAMES BRODIE | DIRECTOR | — |
| FORTIN CAMERON MICHAEL PHELPS | DIRECTOR | — |
| CATAFAGO RENE | DIRECTOR | — |
| STAPLES ANTHONY | DIRECTOR | — |
| LIDDY JOHN PHILLIP | DIRECTOR; SHAREHOLDER | — |
| LIDDY JOHN | DIRECTOR | — |
| DOBSON JOHN | SH | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-09-16 | regulatory | THE SEC ALLEGED THAT FORMULA GROWTH LIMITED, ACTING ON BEHALF OF ITS CLIENTS, VIOLATED RULE 105 BY PARTICIPATING IN A REGISTERED PUBLIC FIXED-PRICE OFFERING AND SOLD THE SECURITIES THAT WERE THE SUBJECT OF THE OFFERING SHORT IN THE FIVE BUSINESS DAY PERIOD PRECEDING THE OFFERING. THE "BONA FIDE PURC… | Final | $65K |