HELIKON INVESTMENTS LIMITED of LONDON is an SEC exempt reporting adviser (CRD 307662).
| Name | Role | Location |
|---|---|---|
| Paul McLernon | CHIEF COMPLIANCE OFFICER AND DIRECTOR | Dublin, L2 |
| Federico Riggio | CONTROLLER; DIRECTOR | — |
| Flavio Russo | DIRECTOR | — |
| David Grazzini | DIRECTOR | — |
| MCLERNON PAUL | CHIEF COMPLIANCE OFFICER AND DIRECTOR | — |
| Fiumara Michele | CONTROLLER; DIRECTOR | — |
| Riggio Federico | CONTROLLER; DIRECTOR | — |
| Villa Vittorio | CONTROLLER | — |
| Grazzini David | CONTROLLER; DIRECTOR | — |
| Russo Flavio | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-08-23 | regulatory | ON DECEMBER 18 2020, HELIKON SELF-REPORTED TO THE SEC THAT THEY SOLD SHORT AMERICAN DEPOSITARY SHARES ("ADSS" OR "SHARES") AND THEN, WITHIN THE RULE'S FIVE-DAY RESTRICTED PERIOD, PURCHASED ADSS OF THE SAME ISSUER IN AN OFFERING, THEREBY VIOLATING RULE 105. | Final | $98K |