VANGUARD GLOBAL ADVISERS, LLC of MALVERN, PA is an SEC-registered investment adviser (CRD 164593). Regulatory assets under management: $249.7B.
Compensation: % of AUM.
Clients served: Charities, Investment cos, Other.
Showing 25 of 33 people.
| Name | Role | Location |
|---|---|---|
| David Bruce Petty | CHIEF FINANCIAL OFFICER | — |
| Gregory Davis | CHAIRMAN OF THE BOARD, MANAGER AND CHIEF INVESTMENT OFFICER; CHAIRMAN OF THE BOARD, MANAGER, AND CHIEF INVESTMENT OFFICER | New York, NY |
| Laura J Merianos | MANAGER | — |
| Katherine Mary Legh Pope | CHIEF COMPLIANCE OFFICER | — |
| Sujatha Aravinda Srinivasan | MANAGER | — |
| MCNABB FREDERICK WILLIAM | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND ELECTED MANAGER; CHIEF EXECUTIVE OFFICER AND MANAGER | — |
| MILLER MICHAEL SIDNEY | MANAGER; SENIOR VICE PRESIDENT AND ELECTED MANAGER | — |
| SAUTER GEORGE UPHAM | CHIEF INVESTMENT OFFICER AND ELECTED MANAGER; MANAGER | — |
| BUCKLEY MORTIMER JOSEPH | CHIEF INVESTMENT OFFICER, SENIOR VICE PRESIDENT AND ELECTED MANAGER; CHIEF INVESTMENT OFFICER, SENIOR VICE PRESIDENT AND MANAGER; CHIEF INVESTMENT OFFICER, SENIOR VICE PRESIDENT, AND MANAGER (+2 more) | — |
| STAM HEIDI | CHIEF LEGAL OFFICER AND ELECTED MANAGER; CHIEF LEGAL OFFICER AND MANAGER; CHIEF LEGAL OFFICER, SENIOR VICE PRESIDENT, AND ELECTED MANAGER | — |
| CARPENTER RICHARD DAVID | CHIEF FINANCIAL OFFICER | — |
| SCALVINO PAULINE CATHERINE | CHIEF COMPLIANCE OFFICER | — |
| REED PHILIP JAMES WILLIAM | MANAGER; SENIOR VICE PRESIDENT AND ELECTED MANAGER; SENIOR VICE PRESIDENT AND MANAGER | — |
| ROYER WILLIAM | CHIEF COMPLIANCE OFFICER | — |
| NORRIS JAMES MAURICE | CHAIRMAN AND MANAGER; MANAGER; SENIOR VICE PRESIDENT AND ELECTED MANAGER (+1 more) | — |
| MCISAAC CHRISTOPHER DAVIS | ELECTED MANAGER; SENIOR VICE PRESIDENT AND ELECTED MANAGER; SENIOR VICE PRESIDENT AND MANAGER | — |
| DAVIS RYAN GREGORY | CHAIRMAN OF THE BOARD, MANAGER AND CHIEF INVESTMENT OFFICER; CHIEF INVESTMENT OFFICER AND MANAGER; MANAGING DIRECTOR, PRESIDENT AND CHIEF INVESTMENT OFFICER | — |
| BEJ NATALIE | CHIEF COMPLIANCE OFFICER | — |
| SATTERTHWAITE FRANK LORD | CHIEF FINANCIAL OFFICER; MANAGER | — |
| LUI CYNTHIA | MANAGER | — |
| BENDL JOHN | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND TREASURER | — |
| SCHADL JOHN | CHIEF COMPLIANCE OFFICER | — |
| HADFIELD JON | CHIEF COMPLIANCE OFFICER | — |
| PETTY DAVID | CHIEF FINANCIAL OFFICER | — |
| Merianos Laura | MANAGER | — |
Showing 10 of 13 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-07-24 | civil | ON 25 JULY 2023, ASIC LODGED CIVIL PENALTY PROCEEDINGS IN THE FEDERAL COURT OF AUSTRALIA AGAINST VANGUARD INVESTMENTS AUSTRALIA LTD (VIA), ALLEGING MISREPRESENTATIONS IN RELATION TO CLAIMS ABOUT CERTAIN ENVIRONMENTAL, SOCIAL AND GOVERNANCE (ESG) EXCLUSIONARY SCREENS APPLIED TO INVESTMENTS IN THE VAN… | Final | $8.8M |
| 2023-05-25 | regulatory | FINRA FOUND THAT FROM NOVEMBER 2019 TO SEPTEMBER 2020, VMC OVERSTATED PROJECTED YIELD AND PROJECTED ANNUAL INCOME FOR NINE MONEY MARKET FUNDS ON CERTAIN BROKERAGE ACCOUNT STATEMENTS. FINRA ALSO FOUND THAT FROM AT LEAST OCTOBER 2019 TO JUNE 2021, CERTAIN ACCOUNT STATEMENTS INACCURATELY PRESENTED MARK… | Final | $800K |
| 2023-03-03 | regulatory | THE FMA ISSUED A WARNING TO VANGUARD INVESTMENTS AUSTRALIA LIMITED (VIA) FOR FAILING TO COMPLY WITH ITS FINANCIAL MARKETS CONDUCT REGULATIONS 2014 REQUIRING DISCLOSURE OF THREE ASIC INFRINGEMENT NOTICES "AS SOON AS PRACTICABLE AFTER THE ACTION IS TAKEN OR THE POWER IS EXERCISED AND NO LATER THAN 5 W… | Final | — |
| 2022-11-11 | regulatory | ASIC ALLEGED THAT VIA ISSUED A PRODUCT DISCLOSURE STATEMENT (PDS) FOR THREE FUNDS THAT STATED THAT THE INDEX TRACKED BY THE FUNDS EXCLUDED CERTAIN SECURITIES WHICH WERE NOT IN FACT EXCLUDED BY THE INDEX METHODOLOGY. ASIC HAS ACKNOWLEDGED THAT THE MISSTATEMENTS WERE AN INADVERTENT ERROR AND NOT INTEN… | Final | $27K |
| 2022-11-04 | regulatory | FINRA ALLEGES THAT VANGUARD MARKETING CORPORATION ("VMC") VIOLATED FINRA RULES 2360(B)(23)(A) AND 2010 BY ACCEPTING A CLIENT'S OPTIONS EXERCISE INSTRUCTIONS ON MAY 22, 2020, AFTER THE 5:30 PM CUTOFF TIME, AND FINRA RULES 3110 AND 2010 BY FAILING TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUD… | Final | $50K |
| 2022-02-24 | regulatory | THE SOUTH KOREAN FINANCIAL SUPERVISORY SERVICE CLAIMED THAT ON MARCH 31, 2020 VANGUARD INVESTMENTS AUSTRALIA LIMITED ("VIA"), ENGAGED IN THE SALE OF TWO KOREAN-LISTED SECURITIES WITHOUT CORRESPONDING OWNERSHIP OF THE POSITIONS, A PRACTICE WHICH IS PROHIBITED UNDER SOUTH KOREAN LAW. | Final | $20K |
| 2021-05-11 | regulatory | BAFIN CLAIMED THAT THE VANGUARD GROUP, INC. ("VGI") ERRED IN PERFORMING A TECHNICAL PROCESS FROM 2017 TO 2019, WHICH LED TO UNTIMELY VOTING RIGHTS NOTIFICATIONS FOR THREE POSITIONS IN CONNECTION WITH SECURITIES LENDING ARRANGEMENTS. | Final | $377K |
| 2021-02-03 | regulatory | THE SOUTH KOREAN FINANCIAL SUPERVISORY SERVICE (FSS) CLAIMED THAT ON SEPTEMBER 27, 2019 THE VANGUARD GROUP, INC. ("VGI"), ENGAGED IN THE SALE OF ONE KOREAN-LISTED SECURITY WITHOUT CORRESPONDING OWNERSHIP OF THE POSITION, A PRACTICE WHICH IS PROHIBITED UNDER SOUTH KOREAN LAW. | Final | $15K |
| 2021-02-03 | regulatory | THE SOUTH KOREAN FINANCIAL SUPERVISORY SERVICE CLAIMED THAT ON MARCH 18, 2020 VANGUARD GLOBAL ADVISERS, LLC ("VGA"), ENGAGED IN THE SALE OF ONE KOREAN-LISTED SECURITY WITHOUT CORRESPONDING OWNERSHIP OF THE POSITION, A PRACTICE WHICH IS PROHIBITED UNDER SOUTH KOREAN LAW. | Final | $19K |
| 2020-06-18 | regulatory | THE SOUTH KOREAN FINANCIAL SUPERVISORY SERVICE CLAIMED THAT ON THREE OCCAISIONS FROM 2018 TO 2019 THE VANGUARD GROUP, INC. ("VGI"), ENGAGED IN THE SALE OF TWO KOREAN-LISTED SECURITIES WITHOUT CORRESPONDING OWNERSHIP OF THE POSITIONS, A PRACTICES WHICH IS PROHIBITED UNDER SOUTH KOREAN LAW. | Final | $105K |