J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 20989). Regulatory assets under management: $29.7B.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Pensions, Charities, Investment cos, Other.
Showing 25 of 40 people.
| Name | Role | Location |
|---|---|---|
| SMITH TAFT JAMES | CHIEF COMPLIANCE OFFICER | CHICAGO, IL |
| Kirk David Rule | CHIEF COMPLIANCE OFFICER | — |
| Thomas Joseph Divuolo | CHIEF FINANCIAL OFFICER/MANAGING DIRECTOR/CHIEF ADMINISTRATIVE OFFICER | — |
| Paul Anthony Zummo | CHIEF INVESTMENT OFFICER/DIRECTOR | — |
| Brian Joseph Burke | DIRECTOR | — |
| Brandon Mathias Robinson | DIRECTOR | — |
| Randy Philip Wachtel | DIRECTOR | — |
| Daniel Debord | DIRECTOR | — |
| HUTTER JAMES DAVID | CHIEF FINANCIAL OFFICER | — |
| ANDERSON MARK ROBERT | PRESIDENT AND DIRECTOR | — |
| UNREIN LAWRENCE MARK | DIRECTOR | — |
| BURKE EDMUND JOSEPH | DIRECTOR | — |
| GIORGIO FRANCIS | CFO & VICE PRESIDENT | — |
| VICITAL LISA TERESA | CHIEF ADMINISTRATIVE OFFICER; CHIEF ADMINISTRATIVE OFFICER/DIRECTOR; CHIEF OPERATING OFFICER/CHIEF ADMINISTRATIVE OFFICER/DIRECTOR (+2 more) | — |
| DIVUOLO THOMAS JOSEPH | CFO/TREAS. & CONTROLLER/EXECUTIVE DIRECTOR; CFO/TREAS. & CONTROLLER/VICE PRESIDENT; CHIEF FINANCIAL OFFICER (+3 more) | — |
| WALLACE LEONARD FRANCIS | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | — |
| O'COMHRAI RONAN PADRAIG | CHIEF LEGAL OFFICER/EXECUTIVE DIRECTOR; CHIEF LEGAL OFFICER/VICE PRESIDENT | — |
| CASE COREY PATRICK | CHIEF OPERATING OFFICER/DIRECTOR; PRESIDENT/CHIEF OPERATING OFFICER/DIRECTOR | — |
| ZUMMO PAUL ANTHONY | CHAIRMAN/CHIEF INVESTMENT OFFICER/DIRECTOR; CHIEF INVESTMENT OFFICER/CHIEF EXECUTIVE OFFICER/DIRECTOR; CHIEF INVESTMENT OFFICER/DIRECTOR | — |
| KATZMAN JOEL | PRESIDENT, CEO & DIRECTOR | — |
| CURLEY FRANCIS XAVIER | DIRECTOR OF COMPLIANCE | — |
| MADSEN RICHARD T | DIRECTOR | — |
| RULE KIRK DAVID | CHIEF COMPLIANCE OFFICER | — |
| STEIN SCOTT ERIC | VICE PRESIDENT | — |
| SOJKA SANDRA | VICE PRESIDENT & COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-07-22 | regulatory | NEGLIGENT BREACH OF SUPERVISORY AND ORGANIZATIONAL DUTIES IN CONNECTION WITH INFRINGEMENTS OF SECTION 21 OF THE GERMAN SECURITIES TRADING ACT. | Final | $1.8M |
| 2020-09-29 | criminal | — | Final | — |
| 2020-09-29 | regulatory | THE CFTC ENTERED AN ORDER RESOLVING AN ACTION AGAINST JPMORGAN CHASE & CO., AN AFFILIATED BANK (THE "BANK") AND AN AFFILIATED BROKER-DEALER (THE "BROKER-DEALER") (COLLECTIVELY, "JPM"). ACCORDING TO THE ORDER, FROM AT LEAST 2008 THROUGH 2016, NUMEROUS TRADERS ON THE PRECIOUS METALS AND U.S. TREASURIE… | Final | $436.4M |
| 2017-01-03 | regulatory | THE INVESTIGATION CONCERNED ALLEGED MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. | Final | $98K |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") RESULTING IN THE FRB ISSUING AN ORDER ("ORDER"). THE ORDER FINDS THAT FROM AT LEAST 2008 THROUGH 2013, JPMC'S ASIA-PACIFIC REGION INVESTMENT BANKING GROUP O… | Final | $61.9M |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") UNDER WHICH JPMC CONSENTED TO THE ENTRY OF AN ORDER (THE "ORDER") THAT FINDS THAT JPMC VIOLATED SECTIONS 13(B)(2)(A), 13(B)(2)(B) AND 30A OF THE SECURITIES EXCHANGE ACT O… | Final | — |
| 2015-05-20 | regulatory | ON MAY 20, 2015, THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") ISSUED AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY AGAINST JPMORGAN CHASE & CO. ("JPMC") RELATING TO ITS FOREIGN EXCHANGE ("FX") ACTIVITIES ("ORDER") FROM 2008 THROUGH 2013. THE ORDER STAT… | Final | $342.0M |
| 2015-05-20 | criminal | ON MAY 20, 2015, THE DOJ FILED A CRIMINAL INFORMATION IN THE DISCTRICT COURT CHARGING JPMC WITH A ONE COUNT CRIME CHARGE IN VIOLATION OF THE SHERMAN ANTITRUST ACT, 15 U.S.C. SECTION 1 (THE "INFORMATION"). THE INFORMATION CHARGES THAT, FROM JULY 2010 UNTIL AT LEAST JANUARY 2013, JPMC, THROUGH ONE OF… | Final | — |
| 2014-06-17 | regulatory | THE INVESTIGATION CONCERNED ALLEGED MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. | Final | $101K |