BERNSTEIN INSTITUTIONAL SERVICES LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 317807). This firm reports disciplinary history on Form ADV.
Compensation: Fixed, Subscription.
Clients served: Corporations.
| Name | Role | Location |
|---|---|---|
| Robert Pieter Van Brugge | CHIEF EXECUTIVE OFFICER | — |
| Laurence Hugh Bertan | CHIEF COMPLIANCE OFFICER | — |
| Colin A Mcgranahan | HEAD OF RESEARCH | — |
| Stephen N Keyes-Grevelis | HEAD OF SALES | — |
| Kiho Rhee | CHIEF FINANCIAL OFFICER / FINOP | — |
| Thomas Heath | PRINCIPAL OPERATIONS OFFICER | — |
| Scott Thomas Morgan | HEAD OF TRADING | — |
| VAN PUTTEN PIETER | CHIEF EXECUTIVE OFFICER | — |
| BERTAN LAURENCE HUGH | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | — |
| MCGRANAHAN COLIN A | DIRECTOR, HEAD OF RESEARCH; HEAD OF RESEARCH | — |
| KEYES-GREVELIS STEPHEN N | DIRECTOR, HEAD OF SALES; HEAD OF SALES | — |
| LILES DAVID ALLEN | DIRECTOR, HEAD OF TRADING; HEAD OF TRADING | — |
| O'KEEFE THOMAS WILLIAM | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; FINOP | — |
| RHEE KIHO | CHIEF FINANCIAL OFFICER / FINOP | — |
| HEATH THOMAS | PRINCIPAL OPERATIONS OFFICER | — |
| Christopher William Ruffino | CHIEF FINANCIAL OFFICER / FINOP | — |
Showing 10 of 39 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-11-20 | regulatory | THE FINANCIAL SERVICES COMMISSION ("FSC") ISSUED A FINAL NOTICE OF PENALTY AGAINST SOCIETE GENERALE, FINDING THAT BETWEEN OCTOBER 12, 2021 AND DECEMBER 23, 2022, SOCIETE GENERALE VIOLATED SHORT SELL REGULATIONS UNDER ARTICLE 180, PARAGRAPH 1, ITEM 1 OF THE FINANCIAL INVESTMENT SERVICES AND CAPITAL M… | Final | $520K |
| 2023-08-08 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ENTERED INTO A SETTLEMENT ORDER ("ORDER") WITH SG AMERICAS SECURITIES, LLC ("SGAS") AND SOCIÉTÉ GÉNÉRALE SA ("SOCIÉTÉ GÉNÉRALE" AND COLLECTIVELY, WITH SGAS, THE "RESPONDENTS") TO SETTLE AN ADMINISTRATIVE ACTION CONCERNING (A) SOCIÉTÉ GÉNÉRALE'S FAILU… | Final | $75.0M |
| 2023-08-08 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ENTERED INTO A SETTLEMENT ORDER ("ORDER") WITH SG AMERICAS SECURITIES, LLC ("SGAS") AND SOCIETE GENERALE SA ("SOCIETE GENERALE" AND COLLECTIVELY, WITH SGAS, THE "RESPONDENTS") TO SETTLE AN ADMINISTRATIVE ACTION CONCERNING (A) SOCIETE GENERALE'S FAILU… | Final | $75.0M |
| 2022-08-02 | regulatory | ICE CLEAR CREDIT LLC ("ICE CLEAR") ISSUED A $71,000 ASSESSMENT TO SOCIETE GENERALE (SG) FOR 71 MISSED END OF DAY CREDIT DEFAULT SWAP PRICING SUBMISSIONS IN JULY 2022. THE ASSESSMENT WAS CALCULATED ACCORDING TO ICE CLEAR'S SCHEDULE OF ASSESSMENTS UNDER ICE CLEAR RULE 702(E), PURSUANT TO WHICH ASSESSM… | Final | $71K |
| 2022-02-22 | regulatory | SOCIETE GENERALE WAS THE SUBJECT OF AN ON-SITE EXAMINATION IN 2019 FROM THE BANQUE DE FRANCE (BDF) CONCERNING THE ELIGIBILITY OF PRIVATE LOANS REMITTED AS COLLATERAL FOR SG'S INTRA-DAY REFINANCING FROM THE BDF. THE BDF FOUND THAT CERTAIN OF THE PRIVATE LOANS SUBMITTED BY SOCIETE GENERALE DID NOT COM… | Final | $71K |
| 2021-09-29 | regulatory | CFTC ALLEGED THAT FROM APPROXIMATELY 2013 TO JULY 2021, SOCIETE GENERALE S.A. ("SG"), AS A SWAP DEALER, FAILED TO DILIGENTLY SUPERVISE ITS PROCESS FOR DISCLOSING CFTC-REQUIRED MID-MARKET MARKS TO ELIGIBLE COUNTERPARTIES AND REPORTING VALUATIONS TO A SWAP DATA REPOSITORY (SDR). SPECIFICALLY, FOR MANY… | Final | $1.5M |
| 2021-09-03 | regulatory | ICE CLEAR CREDIT LLC ("ICE CLEAR") ISSUED A $10,000 ASSESSMENT TO SOCIETE GENERALE (SG) FOR 18 MISSED END OF DAY CREDIT DEFAULT SWAP PRICING SUBMISSIONS IN AUGUST 2021. THE ASSESSMENT WAS CALCULATED ACCORDING TO ICE CLEAR'S SCHEDULE OF ASSESSMENTS UNDER ICE CLEAR RULE 702(E), PURSUANT TO WHICH ASSES… | Final | $10K |
| 2021-08-11 | regulatory | FOR VARIOUS TRADE DATES FROM MARCH 2019 - JULY 2021, INCORRECT POSITIONS AND INCORRECT OCR 102A INFORMATION WERE REPORTED FOR REPORTING # 0DG02 IN VIOLATION. | Final | $3K |
| 2021-04-13 | regulatory | AT A MEETING HELD ON JUNE 7, 2023, THE BUSINESS CONDUCT COMMITTEE ("BCC") OF ICE FUTURES U.S., INC. ("IFUS" OR THE EXCHANGE) DETERMINED THAT SOCIETE GENERALE ("SG") MAY HAVE VIOLATED EXCHANGE RULES 4.02(C) BY EXECUTING TRANSACTIONS THAT MAY HAVE RESULTED IN AN INDIRECT WASH TRADE, AND 4.07(C) IN FOU… | Final | $15K |
| 2019-04-03 | regulatory | ICE CLEAR CREDIT LLC ("ICE CLEAR") ISSUED A $1,000 ASSESSMENT TO SOCIETE GENERALE (SG) FOR 1 MISSED END OF DAY CREDIT DEFAULT SWAP PRICING SUBMISSIONS IN MARCH 2019. THE ASSESSMENT WAS CALCULATED ACCORDING TO ICE CLEAR'S SCHEDULE OF ASSESSMENTS UNDER ICE CLEAR RULE 702(E), PURSUANT TO WHICH ASSESSME… | Final | $1K |