SANDERS MORRIS LLC of HOUSTON, TX is an SEC-registered investment adviser (CRD 20580). Regulatory assets under management: $576.1M.
Compensation: % of AUM, Fixed, Performance.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Investment cos.
Showing 25 of 58 people.
| Name | Role | Location |
|---|---|---|
| Lee Haskell | BOARD OF MANAGER; BOARD OF MANAGERS; DIRECTOR (+2 more) | New York, NY |
| George Lester Ball | CHAIRMAN OF THE BOARD (9/2015); REGISTERED ASSOCIATE | — |
| David William Block | OPERATIONS MANAGER | — |
| Arthur Haag Sherman | MANAGER; MANAGER, GENERAL COUNSEL; OWNER | — |
| Erick George Revelle Kuebler | CHIEF EXECUTIVE OFFICER; MANAGER, PRESIDENT | — |
| Stephen Michael Mangold | CHIEF COMPLIANCE OFFICER; CHIEF EXECUTIVE OFFICER | — |
| Paul Douglas Lyons | FINOP, PRINCIPAL FINANCIAL OFFICER | — |
| GORMLEY STEPHEN KEVIN | BOARD OF MANAGERS; DIRECTOR; MANAGER (+1 more) | — |
| LESSARD RUSSELL JAN | CHIEF COMPLIANCE OFFICER | — |
| JALLANS LESLIE BERNARD | CHIEF COMPLIANCE OFFICER | — |
| ROBERTS BRIAN KEITH | CFO & FINOP | — |
| MCMAKEN BRUCE ROBERT | BOARD OF MANAGERS; EXECUTIVE VICE PRESIDENT CORPORATE; EXECUTIVE VICE PRESIDENT / DIRECTOR | — |
| ANDERSON THOMAS JOHN | CCO/CROP; CHIEF COMPLIANCE OFFICER/CROP | — |
| BALL GEORGE LESTER | BOARD OF MANAGERS; CEO AND CHAIRMAN OF THE BOARD (9/2015); CHAIRMAN (+7 more) | — |
| BERRY RICKY LANE | SENIOR VICE PRESIDENT | — |
| EDELMAN FREDRIC MARK | BOARD OF MANAGERS; DIRECTOR; DIRECTOR AND CHIEF EXECUTIVE OFFICER (+3 more) | — |
| MOORE EDWARD PHILIP | BOARD OF MANAGERS; DIRECTOR AND CHIEF EXECUTIVE OFFICER; DIRECTOR AND EXECUTIVE VICE PRESIDENT (+2 more) | — |
| HAYES WILLIAM PATRICK | GENERAL COUNSEL AND SECRETARY; GENERAL COUNSEL AND SECRETARY; AND BOARD OF MANAGERS (09/2015); GENERAL COUNSEL AND SECRETARY / DIRECTOR | — |
| SHERMAN ARTHUR HAAG | MANAGER; MANAGER, ASSOCIATE GENERAL COUNSEL; MANAGER, GENERAL COUNSEL (+2 more) | — |
| MORRIS BEN TILLMAN | PRESIDENT, CEO | — |
| CORNE ROBERT JEFFERY | FINOP / VICE PRESIDENT | — |
| SANDERS BYRON ANTHONY | BOARD OF MANAGERS; CHAIRMAN OF EXECUTIVE COMMITTEE | — |
| HUNT DAVID LEE | BOARD OF MANAGERS; CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER (+1 more) | — |
| BRUNO JOHN KENNETH | SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT, WEALTH MANAGEMENT | — |
| WONG HOWARD YOKCHUN | CFO/FINOP; CFO/FINOP & VICE PRESIDENT | — |
Showing 10 of 15 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-12-31 | regulatory | ON DECEMBER 28, 2012, AS A RESULT OF AN INACCURATE DEFERRED TAX BALANCE CALCULATION, THE FIRM INACCURATELY CALCULATED ITS EXCESS NET CAPITAL. BASED ON THIS INACCURATE NET CAPITAL CALCULATION, ON DECEMBER 28, 2012, THE FIRM'S BOARD OF DIRECTORS AUTHORIZED A DISTRIBUTION TO ITS OWNERS. IN CONNECTION W… | Final | $85K |
| 2013-07-03 | regulatory | THE SECRETARY OF STATE OF MISSISSIPPI ISSUED A NOTICE OF INTENT TO IMPOSE ADMINISTRATIVE PENALTIES AND TO SUSPEND THE FIRM'S REGISTRATION ALLEGING THAT A FORMER REGISTERED REPRESENTATIVE OF THE FIRM VIOLATED RULE 523(3) IN 2003 WHEN HE MADE A RECOMMENDATION TO A 90-YEAR OLD CLIENT TO PURCHASE A PROM… | Final | $25K |
| 2012-12-21 | regulatory | FINRA RULES 2010, 7450, NASD RULE 3010 - SANDERS MORRIS HARRIS INC. FAILED TO TRANSMIT REPORTABLE ORDER EVENTS (ROES) TO THE ORDER AUDIT TRAIL SYSTEM (OATS) ON NUMEROUS BUSINESS DAYS. THE FIRM'S SUPERVISORY SYSTEM FAILED TO DESIGNATE AN APPROPRIATELY REGISTERED PRINCIPAL(S) WITH AUTHORITY TO CARRY O… | Final | $50K |
| 2012-08-07 | regulatory | SECURITIES EXCHANGE ACT RULES 15C3-1, 17A-3, 17A-11, FINRA RULES 2010, 2360, NASD RULES 2110, 2860, 3010, 3011(A), 3011(B), 3011(C), 3110, MSRB RULE G-41 - SANDERS MORRIS HARRIS INC., ACTING THROUGH TWO PRINCIPALS, FAILED TO REASONABLY SUPERVISE A REGISTERED REPRESENTATIVE. THE PRINCIPALS FAILED TO… | Final | $150K |
| 2012-07-11 | regulatory | FINRA RULE 2010, NASD RULES 2110, 2210 - REGISTERED REPRESENTATIVES OF SANDERS MORRIS HARRIS, INC. DISTRIBUTED PIECES OF HEDGE FUND ADVERTISING MATERIAL TO RETAIL CUSTOMERS THAT FAILED TO DISCLOSE RISKS ASSOCIATED WITH INVESTING IN HEDGE FUNDS, CONTAINED CHARTS OR GRAPHS THAT WERE UNCLEAR AND OMITTE… | Final | $75K |
| 2012-03-22 | regulatory | SECURITIES EXCHANGE ACT OF 1934 RULE 17A-3, FINRA RULES 3730(A), 6730(C)(8) - SMH CAPITAL INC. N/K/A SANDERS MORRIS HARRIS INC. FAILED TO ACCURATELY REPORT THE EXECUTION TIMES OF TRANSACTIONS IN CORPORATE DEBT SECURITIES AND FAILED TO TIMELY REPORT THE TRANSACTIONS IN TRADE REPORTING AND COMPLIANCE… | Final | $10K |
| 2009-09-28 | regulatory | NASD RULES 2110, 6230, 6230(A) - SMH CAPITAL, INC. FAILED TO REPORT TO THE TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) 99 TRANSACTIONS IN TRACE-ELIGIBLE SECURITIES WITHIN 15 MINUTES OF THE TIME OF EXECUTION. THIS CONDUCT CONSTITUTES SEPARATE AND DISTINCT VIOLATIONS OF NASD RULE 6230(A) AND A PATTE… | Final | $8K |
| 2009-04-06 | regulatory | NASD RULE 6955(A)- FIRM FAILED TO TRANSMIT REPORTABLE ORDER EVENTS TO THE ORDER AUDIT TRAIL SYSTEM OVER 849 BUSINESS DAYS. | Final | $65K |
| 2008-11-20 | regulatory | THE APPLICANT FAILED TO REQUIRE TWO AGENTS OF AN INDEPENDENT FINANCIAL ADVISOR ASSOCIATED WITH APPLICANT'S NETWORK TO OBTAIN REGISTRATION AND LICENSING EXAMS PRIOR TO PROVIDING INVESTMENT ADVISORY SERVICES IN TEXAS. THE APPLICANT FAILED TO ENFORCE A SYSTEM REASONABLY DESIGNED TO ACHIEVE COMPLIANCE W… | Final | $30K |
| 2008-10-14 | regulatory | DURING THE FIRST QUARTER OF 2006, THE FIRM FAILED TO REPORT TO TRACE 397 TRANSACTIONS IN TRACE-ELIGIBLE SECURITIES WITHIN 15 MINUTES OF THE TIME OF EXECUTION. | Final | $5K |