M&G INVESTMENTS (USA) INC. of CHICAGO, IL is an SEC-registered investment adviser (CRD 305254). Regulatory assets under management: $14.3B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Joseph Gilou Pinto | DIRECTOR | — |
| Nicholas Robert Mcmorran | DIRECTOR | — |
| Anthony Gerard Balestrieri | DIRECTOR / PRESIDENT / CHIEF INVESTMENT OFFICER | — |
| Nelson Alejandro Zamora | CHIEF OPERATING OFFICER | — |
| Christopher Keene Yarbrough | CHIEF COMPLIANCE OFFICER / HEAD OF LEGAL | — |
| MASON ALBERT DAVID | DIRECTOR | — |
| YARBROUGH CHRISTOPHER KEENE | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER / HEAD OF LEGAL | — |
| COTTON JEFFREY LAWRENCE | CHIEF COMPLIANCE OFFICER | — |
| BALESTRIERI ANTHONY GERARD | DIRECTOR; DIRECTOR / PRESIDENT / CHIEF INVESTMENT OFFICER | — |
| Daniels Jonathan Mark Brewis | DIRECTOR | — |
| McMorran Nicholas Robert | DIRECTOR | — |
| MUCKLEY DAVID ANDREW | CHIEF COMPLIANCE OFFICER / HEAD OF LEGAL, US | — |
| ZAMORA NELSON ALEJANDRO | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER | — |
| Leaviss James | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-10-01 | regulatory | THE FCA'S ENFORCEMENT DIVISION HAS CONCLUDED THAT, BETWEEN 1 JULY 2008 AND 30 SEPTEMBER 2017, PRUDENTIAL FAILED TO TAKE REASONABLE CARE IN RELATION TO NON-ADVISED SALES OF ANNUITIES TO EXISTING CUSTOMERS WHO WERE APPROACHING RETIREMENT AND WHO MAY HAVE BEEN ELIGIBLE FOR A BETTER ANNUITY RATE ON THE… | Final | $28.9M |
| 2017-04-04 | regulatory | BAFIN ALLEGED THAT MAGIM DID NOT HAVE PROCEDURES IN PLACE TO ENSURE COMPLIANCE WITH GERMAN LAW REGARDING NOTIFICATION TO THE BAFIN OF SIGNIFICANT SHAREHOLDINGS IN GERMAN SECURITIES. | Final | $78K |