BOFA SECURITIES, INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 283942). This firm reports disciplinary history on Form ADV.
Compensation: Other.
Clients served: Corporations, Other.
Showing 25 of 37 people.
| Name | Role | Location |
|---|---|---|
| Vincent C. Santanna | CHIEF OPERATIONS OFFICER & FINOP | — |
| Sara Rathbone Mooney | CHIEF FINANCIAL OFFICER | — |
| Glen Alexander Rae | CHIEF LEGAL OFFICER | — |
| Soofian J J Zuberi | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | — |
| Laura P Chepucavage | DIRECTOR, STATE DESIGNATED PRINCIPAL | — |
| Sarang Rajan Gadkari | DIRECTOR | — |
| Kashyap P Bhatia | CHIEF COMPLIANCE OFFICER / BROKER DEALER | — |
| Matthew C Mcqueen | DIRECTOR | — |
| Jennifer C Stagg | CHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER | — |
| Syed Faruqe Alam | CHIEF FINANCIAL OFFICER | — |
| Claire Renee Bliss | CHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER | — |
| Vincent Santanna | CHIEF OPERATIONS OFFICER & FINOP | — |
| Joseph Anthony Jr Guardino | CHIEF OPERATIONS OFFICER & FINOP | — |
| CACCAMISE WILLIAM CHARLES JR | CHIEF LEGAL OFFICER | — |
| GUARDINO JOSEPH ANTHONY JR | CHIEF OPERATIONS OFFICER & FINOP | — |
| GALLINEK WILFRED ERIC | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER / BROKER-DEALER; CHIEF COMPLIANCE OFFICER/ BROKER DEALER | — |
| MAGASINER ANDREI GRISCHA | DIRECTOR | — |
| MONTAG THOMAS KELL | DIRECTOR & CHIEF EXECUTIVE OFFICER | — |
| SMITH EDWARD BRADLEY | OUTSIDE DIRECTOR | — |
| GALLO FABRIZIO | DIRECTOR | — |
| APPLEBAUM LIZBETH NELLE | CHIEF FINANCIAL OFFICER | — |
| HANSELMANN CLAIRE | CHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER | — |
| CARTAINA JOHN ANDREW | CHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER | — |
| ALAM SYED FARUQE | CHIEF FINANCIAL OFFICER | — |
| RAE GLEN ALEXANDER | CHIEF LEGAL OFFICER | — |
Showing 10 of 112 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-06-12 | regulatory | A PANEL OF THE CHICAGO BOARD OF TRADE ("CBOT") BUSINESS CONDUCT COMMITTEE FOUND THAT BOFA SECURITIES, INC. ("THE FIRM") DID NOT MAINTAIN CURRENT BOOKS AND RECORDS FOR THE PERIOD OF APPROXIMATELY APRIL 7, 2025 THROUGH JUNE 26, 2025, AND FAILED TO MEET THE COMPLIANCE CALCULATION REQUIREMENT FOR NON-CR… | Final | $75K |
| 2026-05-27 | regulatory | CBOE BZX EXCHANGE, INC. ("BZX") ALLEGED THAT, FROM ON OR ABOUT APRIL 4, 2024 THROUGH ON OR ABOUT MAY 30, 2024, BOFA SECURITIES, INC. ("BOFA SECURITIES") SUBMITTED CERTAIN ORDERS WITH INACCURATE CAPACITY CODES TO BZX AND FAILED TO MAINTAIN ACCURATE BOOKS AND RECORDS RELATING TO THE CAPACITY OF SUCH O… | Final | $17K |
| 2026-05-27 | regulatory | CBOE EDGX EXCHANGE, INC. ("EDGX") ALLEGED THAT, FROM ON OR ABOUT APRIL 4, 2024 THROUGH ON OR ABOUT MAY 30, 2024, BOFA SECURITIES, INC. ("BOFA SECURITIES") SUBMITTED CERTAIN ORDERS WITH INACCURATE CAPACITY CODES TO EDGX AND FAILED TO MAINTAIN ACCURATE BOOKS AND RECORDS RELATING TO THE CAPACITY OF SUC… | Final | $11K |
| 2026-05-15 | regulatory | ICE FUTURES U.S., INC. ("IFUS") ALLEGED THAT BOFA SECURITIES, INC. (THE "FIRM") FAILED TO ENSURE TIMELY DELIVERY OF ALLOWANCES IN SATISFACTION OF ITS ENTIRE DELIVERY OBLIGATION FOR THE DECEMBER 2025 CALIFORNIA CARBON ALLOWANCE VINTAGE 2025 FUTURE, ON DECEMBER 29, 2025, IN VIOLATION OF IFUS RULE 18.0… | Final | $10K |
| 2026-03-05 | regulatory | A SUBCOMMITTEE OF THE ICE FUTURES U.S., INC. ("IFUS") BUSINESS CONDUCT COMMITTEE ALLEGED THAT BOFA SECURITIES, INC. ("THE FIRM") MAY HAVE VIOLATED IFUS RULE 4.02(C) IN CONNECTION WITH THE FIRM'S ENTRY OF A BUY AND A SELL ORDER IN A MANNER THAT RESULTED IN A TRADE BETWEEN ACCOUNTS FOR THE SAME PRINCI… | Final | $10K |
| 2026-01-06 | regulatory | CHICAGO MERCANTILE EXCHANGE ("CME") ALLEGED THAT BOFA SECURITIES, INC. ("THE FIRM") FAILED TO APPROPRIATELY REGISTER CERTAIN OPERATOR IDS ON THE CME GROUP GLOBEX TRADING SYSTEM AND SUBMITTED AN OPERATOR ID THAT REPRESENTED MULTIPLE SHIFTS, IN VIOLATION OF CME RULE 576. | Final | $1K |
| 2025-12-19 | regulatory | THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") ALLEGED THAT, FROM JANUARY 2020 THROUGH SEPTEMBER 2023, BOFA SECURITIES, INC. ("BOFA SECURITIES") PUBLISHED CERTAIN QUARTERLY REPORTS REGARDING CUSTOMER ORDERS IN NATIONAL MARKET SYSTEM (NMS) SECURITIES PURSUANT TO RULE 606 OF REGULATION NATIONAL… | Final | $225K |
| 2025-10-27 | regulatory | THE NEW YORK STOCK EXCHANGE LLC ("NYSE") ALLEGED THAT, FROM AT LEAST JANUARY 2015 THROUGH JULY 2023, BOFA SECURITIES, INC. ("BOFA SECURITIES") FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT TRADE-THROUGHS OF PROTECTED QUOTATIONS IN NATIONAL M… | Final | $55K |
| 2025-10-27 | regulatory | THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") ALLEGED THAT, FROM AT LEAST SEPTEMBER 2014 THROUGH AT LEAST JULY 2023, BOFA SECURITIES, INC. ("BOFA SECURITIES") FAILED TO ESTABLISH, MAINTAIN AND ENFORCE WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT TRADE-THROUGHS OF PROTECTED… | Final | $155K |
| 2025-10-15 | regulatory | THE CBOE EDGA EXCHANGE, INC. ("EDGA") ALLEGED THAT, FROM AT LEAST JANUARY 2021 THROUGH AT LEAST APRIL 2021, BOFA SECURITIES, INC. ("BOFA SECURITIES") FAILED TO TAKE REASONABLE STEPS TO ESTABLISH THAT THE INTERMARKET SWEEP ORDERS ("ISO") IT ROUTED OR ATTEMPTED TO ROUTE MET THE REQUIREMENTS IN RULE 60… | Final | $60K |