FLATIRON RR LLC, MANAGER SERIES of NEW YORK, NY is an SEC-registered investment adviser (CRD 314505). Regulatory assets under management: $1.2B.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Alpesh Jasvant Rathod | CHIEF COMPLIANCE OFFICER | — |
| Mark Anthony Campellone | DIRECTOR | — |
| Arthur Starratt Torrey | DIRECTOR | — |
| Elizabeth Ann Standbridge | DIRECTOR | — |
| Christian Peter Saltaformaggio | DIRECTOR | — |
| RZAD AMAURY J | DIRECTOR | — |
| RATHOD ALPESH JASVANT | CHIEF COMPLIANCE OFFICER | — |
| DIAL ROBERT HASTINGS | DIRECTOR | — |
| HENDRICKS JOHN DAVID | DIRECTOR | — |
| CAMPELLONE MARK ANTHONY | DIRECTOR | — |
| TORREY ARTHUR STARRATT | DIRECTOR | — |
| STANDBRIDGE ELIZABETH ANN | DIRECTOR | — |
| SALTAFORMAGGIO CHRISTIAN PETER | DIRECTOR | — |
Showing 10 of 11 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-08-07 | regulatory | PURSUANT TO A MARKET CONDUCT EXAMINATION BY THE STATE OF NYLIC PAID A $2,000 FINE FOR FAILING TO PAY CLAIMS AND INTEREST ON CLAIMS IN A TIMELY MANNER, IN VIOLATION OF CONNECTICUT STATUTORY REQUIREMENTS. NYLIAC PAID A $12,000 FINE FOR PERMITTING EIGHT (8) PRODUCERS TO ACT AS AGENTS IN CONNECTICUT WIT… | Final | $14K |
| 2023-12-16 | regulatory | NEW YORK LIFE INSURANCE COMPANY FAILED TO USE POLICY FORMS THAT WERE REVIEWED AND APPROVED BY THE STATE. IN ADDITION, CERTAIN FORMS DID NOT COMPLY WITH STATE REGULATIONS. | Final | $100K |
| 2021-10-04 | regulatory | ON OCTOBER 4, 2021 NEW YORK LIFE INSURANCE COMPANY ("NYLIC") RECEIVED AN ORDER OF CIVIL PENALTY AND ADOPTION OF A CORRECTIVE ACTION PLAN FROM THE KENTUCKY DEPARTMENT OF INSURANCE ALLEGING THAT NYLIC INCORRECTLY IMPLEMENTED PREMIUM RATE INCREASES ON 112 INDIVIDUAL LONG TERM CARE CONTRACTS IN VIOLATIO… | Final | $112K |
| 2021-03-23 | regulatory | THE OFFICE OF THE MONTANA STATE AUDITOR, COMMISSION OF SECURITIES AND INSURANCE ("CSI") FOUND THAT SINCE 2015 NEW YORK LIFE INSURANCE COMPANY AND NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION (COLLECTIVELY, "NYL") USED GROUP LIFE INSURANCE AND GROUP ANNUITY FORMS THAT HAD NOT BEEN APPROVED BY THE… | Final | $10K |
| 2018-01-24 | regulatory | DURING THE COURSE OF A ROUTINE MARKET CONDUCT EXAM, THE STATE OF CONNECTICUT INSURANCE DEPARTMENT (THE STATE) FOUND NEW YORK LIFE INSURANCE COMPANY DID NOT TIMELY PAY LONG TERM CARE CLAIMS IN FOUR INSTANCES. | Final | $1K |
| 2016-10-31 | regulatory | AS THE RESULT OF A ROUTINE MARKET CONDUCT EXAMINATION OF THE AFFAIRS OF NEW YORK LIFE INSURANCE COMPANY FOR THE PERIOD FROM JANUARY 1, 2005 THROUGH DECEMBER 31, 2009, THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES FOUND THAT NEW YORK LIFE VIOLATED SECTIONS 53-3.5(A), 53-3.2(A)(2) AND 53-3.6(B)O… | Final | $732K |
| 2015-12-07 | regulatory | THE ILLINOIS DEPARTMENT OF INSURANCE CONDUCTED A MARKET EXAM, THE REPORT OF WHICH IDENTIFIED CERTAIN AREAS WHERE NYLIC WAS NOT IN COMPLIANCE WITH ILLINOIS INSURANCE REGULATIONS. NYLIC AND THE IL DEPT OF INSURANCE ENTERED INTO A STIPULATION AND CONSENT ORDER UNDER WHICH NYLIC WILL PAY A CIVIL PENALTY… | Final | $26K |
| 2014-10-24 | regulatory | A CIVIL PENALTY TO NEW YORK LIFE INSURANCE COMPANY BECAUSE A THIRD PARTY ADMINISTRATOR WORKING ON ITS BEHALF FAILED TO COMPLY WITH THE HEALTH INSURANCE CLAIM PAYMENT STANDARDS UNDER THE KENTUCKY PROMPT PAY ACT. | Final | $6K |
| 2014-05-30 | regulatory | NYLIC ADMITED TO THE FACTS AND ACCEPTED THE MARYLAND ADMINISTRATION'S CONCLUSIONS AS STATED IN THE EXAMINATION REPORT (MCLH-17-2011-E), IN RELATION TO NOT OFFERING THE BENEFICIARY IN WRITING AN EXPLANATION OF THE FEATURES OF THE RETAINED ASSET ACCOUNTS. NYLIC DENIED LIABILITY TO ANY THIRD PARTY AS A… | Final | $1K |
| 2014-02-18 | regulatory | A CIVIL PENALTY TO NEW YORK LIFE INSURANCE COMPANY BECAUSE A THIRD PARTY ADMINISTRATOR WORKING ON ITS BEHALF FAILED TO COMPLY WITH THE HEALTH INSURANCE CLAIM PAYMENT STANDARDS UNDER THE KENTUCKY PROMPT PAY ACT. | Final | $5K |