INGALLS INVESTMENT MANAGEMENT, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 2288). Regulatory assets under management: $7.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Investment cos, Other.
Showing 25 of 37 people.
| Name | Role | Location |
|---|---|---|
| Frank Stolba | CHIEF FINANCIAL OFFICER; CHIEF OPERATING OFFICER; MANAGING DIRECTOR | New York, NY |
| Thomas Oneil Jr Boucher | MANAGING DIRECTOR | — |
| John Joseph Dougherty | MANAGING DIRECTOR | — |
| Guy Richards Riegel | MANAGING DIRECTOR | — |
| Keith Simon Lane-Zucker | MANAGING DIRECTOR | — |
| Robert Anthony Case | CHIEF EXECUTIVE OFFICER; SENIOR MANAGING DIRECTOR | — |
| Aphrodite Mavricos Garrison | MANAGING DIRECTOR | — |
| Christine Elizabeth Weston | MANAGING DIRECTOR | — |
| Sean Patrick Meehan | MANAGING DIRECTOR | — |
| Christian Chihong Park | CHIEF COMPLIANCE OFFICER; EXECUTIVE DIRECTOR; SENIOR DIRECTOR | — |
| James Edwin Thatcher | MANAGING DIRECTOR | — |
| Adam David Janovic | MANAGING DIRECTOR | — |
| Adam F Grisanti | CHIEF FINANCIAL OFFICER; CHIEF OPERATIONS OFFICER; EXECUTIVE DIRECTOR | — |
| Alice Barzun Mclean | MANAGING DIRECTOR | — |
| MEEHAN PAUL PATRICK | MANAGING DIRECTOR | — |
| DOUGHERTY TIMOTHY JOSEPH | MANAGING DIRECTOR | — |
| CASE ROBERT ANTHONY | CHIEF EXECUTIVE OFFICER; SENIOR MANAGING DIRECTOR | — |
| OBERST EDWARD HENRI | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER; CHIEF OPERATIONS OFFICER (+1 more) | — |
| LAMB LAWTON STORRS | CHIEF EXECUTIVE OFFICER; MANAGING DIRECTOR | — |
| SIMMONS WILLIAM REED | MANAGING DIRECTOR | — |
| BOUCHER THOMAS ONEIL JR | MANAGING DIRECTOR | — |
| BELKNAP ROBERT ERNEST III | MANAGING DIRECTOR | — |
| BOONE HORACE SHEPARD | MANAGING DIRECTOR; SENIOR DIRECTOR | — |
| DITOSTO THOMAS PETER | MANAGING DIRECTOR | — |
| SIEGE CHRISTOPHER RANDALL | MANAGING DIRECTOR; SENIOR DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-08-21 | regulatory | THE VIRGINIA SECURITIES ACT (THE "ACT") REQUIRES ALL THIRD-PARTY SOLICITORS OF POTENTIAL INVESTMENT ADVISORY CLIENTS TO BE REGISTERED AS AN INVESTMENT ADVISOR REPRESENTATIVE REGARDLESS OF WHETHER THE ACTIVITY IS LIMITED TO SOLICITATION ACTIVITIES RATHER THAN RENDERING OF INVESTMENT ADVICE. VIRGINIA… | Final | $6K |
| 2014-12-15 | regulatory | THE STIPULATION OF FACTS AND CONSENT TO PENALTY WAS SUBMITTED FOR THE SOLE PURPOSE OF SETTLING THIS DISCIPLINARY PROCEEDING, WITHOUT ADJUDICATION OF ANY ISSUES OF LAW OR FACT, AND WITHOUT ADMITTING OR DENYING ANY ALLEGATIONS OR FINDINGS REFERRED TO THEREIN. THE FIRM, DURING THE REVIEW PERIOD, MISMAR… | Final | $23K |
| 2014-12-11 | regulatory | AN ACCEPTANCE, WAIVER AND CONSENT ("AWC") WAS ENTERED INTO FOR THE SOLE PURPOSE OF SETTLING A DISCIPLINARY PROCEEDING, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS. THE ALLEGATIONS AGAINST THE FIRM WERE: (1) DURING THE REVIEW PERIOD BETWEEN APRIL 2009 AND AUGUST 2012, THE FIRM FAILED TO REPORT APPRO… | Final | $175K |
| 2010-07-28 | regulatory | NASD RULES 2110, 3010, 6955(A) - INGALLS & SNYDER, LLC FAILED TO TRANSMIT ALL OF ITS REPORTABLE ORDER EVENTS (ROES) TO THE ORDER AUDIT TRAIL SYSTEM (OATS) ON NUMEROUS BUSINESS DAYS. THE FIRM FAILED TO PROVIDE DOCUMENTARY EVIDENCE THAT IT PERFORMED THE SUPERVISORY REVIEWS SET FORTH IN ITS WRITTEN SUP… | Final | $20K |
| 1980-11-17 | regulatory | FAILURE TO REPORT NASDAQ VOLUME. | Final | $100 |