PPM LOAN MANAGEMENT COMPANY 2, LLC of CHICAGO, IL is an SEC-registered investment adviser (CRD 297186). Regulatory assets under management: $2.7B.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Don Wayne Cummings | DIRECTOR | New York, NY |
| Thomas Richard Barrus | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| Mary T Capasso | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER, GENERAL COUNSEL | — |
| Oliver Jordan | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER | — |
| Ogechi Chikezie Nwachukwu | DIRECTOR | — |
| Christopher Allen Raub | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR, CHAIRMAN OF THE BOARD | Chicago, IL |
| Craig Donald Smith | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | — |
| SMITH LESLIE DONALD | DIRECTOR, EXECUTIVE VICE PRESIDENT; PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | — |
| MANDICH MARK BERNARD | PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| MYERS PAUL CHADWICK | DIRECTOR | — |
| BARRUS THOMAS RICHARD | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER; VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| BALESTRIERI ANTHONY GERARD | EXECUTIVE VICE PRESIDENT | — |
| Davidson Grant | CHIEF FINANCIAL OFFICER AND TREASURER | — |
| CUMMINGS DON WAYNE | DIRECTOR | — |
| CAPASSO MARY T | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER, GENERAL COUNSEL; EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER, GENERAL COUNSEL, DIRECTOR; SENIOR VICE PRESIDENT, GENERAL COUNSEL, AND SECRETARY | — |
| Jordan Oliver | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER; EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER | — |
| RAUB CHRISTOPHER ALLEN | DIRECTOR | — |
| Wadsten Marcia Lynn | DIRECTOR | — |
| NWACHUKWU OGECHI CHIKEZIE | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-07-08 | regulatory | DURING THE PERIOD UNDER EXAMINATION, JACKSON FAILED TO FOLLOW ESTABLISHED PRACTICES AND PROCEDURES TO ENSURE COMPLIANCE WITH STATUTORY REQUIREMENTS, RESULTING IN THE INSTANCES OF TEN PRODUCERS ACTING AS AN AGENT WITHOUT REQUIRED NOTIFICATION. | Final | $15K |
| 2020-12-14 | regulatory | VALLEY FORGE LIFE INSURANCE COMPANY (VFL) WAS ABLE TO COMPLETE THIS EXAM WITHOUT ANY FINES ISSUED AGAINST IT, BUT THE CAYMAN ISLANDS MONETARY AUTHORITY ("CIMA") DID ISSUE EXTENSIVE FINDINGS AGAINST JACKSON. THESE FINDINGS CAN ESSENTIALLY BE BROKEN DOWN INTO THREE CATEGORIES: (1) DEFICIENCIES IN VFL'… | Final | — |
| 2020-12-14 | regulatory | THE FINDINGS AGAINST JACKSON WERE DISTRIBUTED ACROSS THREE CATEGORIES: (1) THE REQUIREMENT TO MAIL DELAWARE PRODUCERS NOTIFICATION OF TERMINATION OF THEIR APPOINTMENT, (2) COLLECTING SIGNED PAPERWORK IN REPLACEMENT TRANSACTIONS, AND (3) TIMELY RESPONDING TO LIFE INSURANCE CLAIMS. | Final | $35K |
| 2020-06-01 | regulatory | THE INVESTIGATION OF THE JACKSON CONTRACTS REVIEWED RESULTED IN THREE FINDINGS AND FIVE REMEDIAL ACTIONS. A MONETARY PENALTY OF $1,500 WAS ALSO ASSESSED. JACKSON MUST FILE DOCUMENTATION WITH THE DIVISION WITHIN 90 DAYS OF THE ENTRY OF AN ORDER OF ANY REMEDIAL ACTION TAKEN OR TO DOCUMENT THE PAYMENT… | Final | $2K |
| 2020-04-02 | regulatory | THERE WERE 5 FINDINGS AS PART OF THIS INVESTIGATION: FINDING 1 - FAILURE TO TIMELY CHANGE THE POLICY OWNERSHIP ACCORDING TO THE AGE OF MAJORITY (AOM) PROVISION OF THE POLICY. FINDING 2 - INDIVIDUALS OTHER THAN THE POLICY OWNERS WERE ALLOWED TO TAKE ACTION AGAINST THE POLICY SUCH AS CEASE PREMIUM PAY… | Final | $44K |