BMO CAPITAL MARKETS CORP. of NEW YORK, NY is an SEC-registered investment adviser (CRD 16686). Regulatory assets under management: $1.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Other.
Clients served: Investment cos, Other.
Showing 25 of 40 people.
| Name | Role | Location |
|---|---|---|
| Levent Kahraman | MANAGING DIRECTOR, GLOBAL MARKETS | New York, NY |
| Michael Forlenza | HEAD, CHIEF OPERATING OFFICER | — |
| Thomas John Brickley | FINANCIAL AND OPERATIONS PRINCIPAL | — |
| Joel Edward Woodward | CHIEF FINANCIAL OFFICER | — |
| Warren Francis Estey | MANAGING DIRECTOR, INVESTMENT BANKING | — |
| Daniel Yukilevich | CHIEF COMPLIANCE OFFICER | — |
| Scott Stephen Solowey | CHIEF COMPLIANCE OFFICER | — |
| REID BUFORD SCOTT | DIRECTOR | — |
| MILLER DAVID JOHN | DIRECTOR | — |
| GOLDMAN ROGER ALAN | MANAGING DIRECTOR, GLOBAL MARKETS | — |
| PIERMARINI CHARLES N | DIRECTOR | — |
| WOODWARD PAUL EDWARD | CHIEF FINANCIAL OFFICER | — |
| HINMAN PETER CHRISTOPHER | DIRECTOR AND CHIEF OPERATING OFFICER | — |
| LIBROT KENNETH EDWARD | DIRECTOR | — |
| COPPINS MICHAEL WILLIAM | CHEIF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER | — |
| LEAVY KEITH CHRISTIAN | CHIEF COMPLIANCE OFFICER | — |
| ZEISS MICHAEL GEORGE | MANAGING DIRECTOR AND CHIEF LEGAL OFFICER | — |
| HOFFMEISTER PERRY COLTER | DIRECTOR | — |
| TRIPP ERIC CLIFTON | DIRECTOR | — |
| SEABROOK LUCAS ROBERTSON | DIRECTOR | — |
| BEHNKE PATTI LOZIER | CHIEF FINANCIAL OFFICER | — |
| TANNENBAUM ALAN | DIRECTOR; EXECUTIVE OFFICER | — |
| SECCHIA PAUL FRANCIS | DIRECTOR | — |
| ROTHBAUM BRAD ANDERS | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER & HEAD, GLOBAL MARKETS | — |
| MYERS JASON ALLAN | DIRECTOR; HEAD, INVESTMENT BANKING | — |
Showing 10 of 25 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-01-13 | regulatory | ON JANUARY 13, 2025, THE SEC ENTERED AN ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS, PURSUANT TO SECTION 15(B)(4) OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS (THE "ORDER"), FINDING THAT BMO CAPITAL MARKETS CORP. (THE "FIRM") FAILED REASONABLY TO SUPERVIS… | Final | $19.0M |
| 2024-01-30 | civil | THE CLASS PLAINTIFFS ARE MADE UP OF PERSONS AND ENTITIES THAT PURCHASED UIPATH COMMON STOCK FROM APRIL 21, 2021 THROUGH SEPTEMBER 27, 2022, OR WHO PURCHASED COMMON STOCK PURSUANT TO UIPATH'S APRIL 2021 $1.5 BILLION INITIAL PUBLIC OFFERING. THE COMPLAINT ALLEGES THAT ALTHOUGH THE OFFERING DOCUMENTS D… | Final | — |
| 2023-08-08 | regulatory | THE U.S. SECURITIES AND EXCHANGE COMMISSION ALLEGED THAT, FROM AT LEAST JANUARY 2019 THROUGH THE DATE OF THE ORDER, BMO CAPITAL MARKETS CORP. FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS ITS EMPLOYEES SENT AND RECEIVED RELATED TO ITS BROKER-DEALER'S BUSINESS, IN WILLFUL VIOLATION O… | Final | $25.0M |
| 2023-08-08 | regulatory | THE U.S. COMMODITY FUTURE TRADING COMMISSION ("CFTC") ALLEGED THAT, FROM AT LEAST 2019 THROUGH THE DATE OF THE ORDER, BANK OF MONTREAL ("BMO") (I) FAILED TO KEEP CERTAIN REQUIRED RECORDS IN VIOLATION OF SECTIONS 4S(F)(1)(C) AND 4S(G)(1) AND (3) OF THE COMMODITY EXCHANGE ACT ("CEA") AND CFTC REGULATI… | Final | $35.0M |
| 2023-04-26 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRYOF FINDINGS THAT FROM JULY 27, 2018 UNTIL APRIL 29, 2019, THE FIRM ROUTED 9,111 ISOS TO THE BZXWITHOUT TAKING SNAPSHOTS OF THE RELEVANT PROTECTED QUOTATIONS, INCLUDING 360 INSTANCES IN WHICHTHE LIMIT PRICE… | Final | $15K |
| 2023-04-03 | civil | CLASS PLAINTIFFS ALLEGE THAT DEFENDANTS MADE FALSE AND/OR MISLEADING STATEMENTS THAT OVERSTATED THE SUSTAINABILITY OF ENVIVA'S WOOD PELLET PRODUCTION AND PROCUREMENT, OMITTED THAT ENVIVA RELIED ON ENVIRONMENTALLY-DESTRUCTIVE CLEAR CUTTING PRACTICES; AND OMITTED THAT ENVIVA'S PROCUREMENT INVOLVED DEF… | Pending | — |
| 2020-07-22 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO TRANSMIT ROES TO OATS. THE FINDINGS STATED THAT THE FIRM'S ROUTE REPORTS WERE SUPPRESSED FROM BEING REPORTED TO OATS DUE TO A CODING ERROR WITHIN ITS ORDER MANAGEMENT SYSTEM… | Final | $40K |
| 2019-12-06 | regulatory | BETWEEN JULY 1, 2016 AND MARCH 31, 2017, KGS-ALPHA CAPITAL MARKETS, L.P. ("KGS ALPHA" OR THE "FIRM"), N/K/A BMO CAPITAL MARKETS CORP., FAILED TO REPORT TO THE TRADE REPORTING AND COMPLIANCE ENGINE ("TRACE") THE CORRECT TIME OF EXECUTION FOR 266 TRANSACTIONS IN TRACE-ELIGIBLE SECURITIZED PRODUCTS, AS… | Final | $30K |
| 2019-11-20 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ACCURATELY RECORD THE ORDER RECEIPT AND ORDER TRANSMISSION TIMES OF MANUAL OPTIONS ORDERS IT HAD ROUTED TO FLOOR BROKERS AT NYSE ARCA AND VARIOUS OTHER NATIONAL SECURITIES EX… | Final | $30K |
| 2019-11-20 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ACCURATELY RECORD THE ORDER RECEIPT AND ORDER TRANSMISSION TIMES OF MANUAL OPTIONS ORDERS IT HAD ROUTED TO FLOOR BROKERS AT PHLX AND VARIOUS OTHER NATIONAL SECURITIES EXCHANG… | Final | $70K |
| City | State | Employees | Phone |
|---|---|---|---|
| BOSTON | MA | 2 | 617-960-2364 |
| HOUSTON | TX | 1 | (713) 223-4400 |
| DENVER | CO | 1 | (212) 702-1981 |
| CHICAGO | IL | 1 | 312-461-7361 |