INVESCO LOAN MANAGER, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 306746). Regulatory assets under management: $17.7B.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Joshua Evan Levit | CHIEF COMPLIANCE OFFICER | — |
| MCALEER TARA MARY | CHIEF COMPLIANCE OFFICER | — |
| Levit Joshua Evan | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-11-28 | regulatory | THE SEC ALLEGED THAT INVESCO ADVISERS, INC. ("IAI"), AN INVESTMENT ADVISORY AFFILIATE OF INVESCO SENIOR SECURED MANAGEMENT, INC., LACKED COMPREHENSIVE POLICIES AND PROCEDURES TO DETERMINE THE PERCENTAGE OF COMPANY-WIDE ASSETS UNDER MANAGEMENT ("AUM") THAT WAS ESG INTEGRATED. THE SEC ALSO ALLEGED THA… | Final | $17.5M |
| 2023-05-15 | regulatory | THE SEC ALLEGED THAT INVESCO ADVISERS, INC. ("IAI"), AN INVESTMENT ADVISORY AFFILIATE OF INVESCO LOAN MANAGER AND INVESCO DISTRIBUTORS, INC. ("IDI"), AN AFFILIATED BROKER-DEALER (TOGETHER, WITH IAI, "INVESCO"), FAILED TO ADEQUATELY PRESERVE CERTAIN ELECTRONIC COMMUNICATIONS PURSUANT TO APPLICABLE RE… | Final | $35.0M |
| 2020-07-30 | regulatory | INVESCO LTD AND AIM INTERNATIONAL MUTUAL FUNDS FAILED TO SUBMIT VOTING RIGHTS NOTIFICATIONS TO BAFIN AND THE ISSUERS BY THE REQUIRED DEADLINE. BAFIN ISSUED A NOTICE OF HEARING ON JULY 30, 2020 TO INVESCO LTD ALLEGING THAT VIOLATIONS OF THE VOTING RIGHTS REQUIREMENTS OCCURED ON 26 OCCASSIONS RELATING… | Final | $310K |
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