55I, LLC of BOSTON, MA is an SEC-registered investment adviser (CRD 286620). Regulatory assets under management: $36.7B.
Compensation: % of AUM, Fixed, Other.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Melissa Schiffman | CHIEF COMPLIANCE OFFICER | — |
| Carmine Lekstutis | ASSISTANT GENERAL COUNSEL | — |
| Gautam Sachdev | CHIEF EXECUTIVE OFFICER | — |
| Thomas Paul Kandybowicz | PLATFORM MANAGEMENT | — |
| Thomas D'Amico | FINANCE | — |
| LAVINE BRUCE IVINS | CEO AND CHIEF COMPLIANCE OFFICER | — |
| SHAH SACHIN A | CHIEF COMPLIANCE OFFICER/PRESIDENT; CHIEF COMPLIANCE OFFICER/PRESIDENT/COO; CHIEF OPERATING OFFICER (+3 more) | — |
| NAIR VINAY BALAGOPAL | CHAIRMAN; MANAGING MEMBER | — |
| PADDON JAMES WALLACE | COO; COO/CCO | — |
| GAMBLE PAUL ALEXANDER | CEO; CHIEF EXECUTIVE OFFICER | — |
| BAIRATHI SWATI | CHIEF PRODUCT OFFICER | — |
| DESCOTEAUX DIANNE | CHIEF COMPLIANCE OFFICER | — |
| OPOLSKI STEFAN E | CONTROLLER | — |
| Schiffman Melissa | CHIEF COMPLIANCE OFFICER | — |
| LEKSTUTIS CARMINE | ASSISTANT GENERAL COUNSEL | — |
| SACHDEV GAUTAM | CHIEF EXECUTIVE OFFICER | — |
| KANDYBOWICZ THOMAS PAUL | PLATFORM MANAGEMENT | — |
| 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 | 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 |
| 2020-09-29 | criminal | — | Final | — |
| 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 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 | — |
| 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 |
| 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 DISTRICT COURT CHARGING JPMC WITH A ONE COUNT CRIME CHARGE IN VIOLATION OF THE SHERMAN ANTITRUST ACT, 15 U.S.C. ? 1 (THE "INFORMATION"). THE INFORMATION CHARGES THAT, FROM JULY 2010 UNTIL AT LEAST JANUARY 2013, JPMC, THROUGH ONE OF ITS EUR… | 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 |