FORMULA GROWTH MANAGEMENT CORP of NEW YORK, NY is an SEC-registered investment adviser (CRD 285005). Regulatory assets under management: $343.5M.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Randall William Kelly | PRESIDENT/DIRECTOR; SHAREHOLDER | — |
| Argirios John Kiriazidis | COO/CCO | — |
| James Brodie Sinclair | DIRECTOR | — |
| KELLY BRIAN WILLIAM | DIRECTOR; PRESIDENT/DIRECTOR; SHAREHOLDER | — |
| LIDDY JOHN PHILIP | PRESIDENT/DIRECTOR; SHAREHOLDER | — |
| Kiriazidis Argirios John | CFO/CCO; COO/CCO; VP OPERATIONS/ CHIEF COMPLIANCE OFFICER | — |
| SINCLAIR JAMES BRODIE | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-09-16 | regulatory | THE SEC ALLEGED THAT FORMULA GROWTH LIMITED, ACTING ON BEHALF OF ITS CLIENTS, VIOLATED RULE 105 BY PARTICIPATING IN A REGISTERED PUBLIC FIXED PRICE OFFERING AND SOLD THE SECURITIES THAT WERE THE SUBJECT OF THE OFFERING SHORT IN THE FIVE BUSINESS DAY PERIOD PRECEDING THE OFFERING. THE "BONA FIDE PURC… | Final | $65K |