NEUBERGER BERMAN LOAN ADVISERS EUROPE II LP of CHICAGO, IL is an SEC-registered investment adviser (CRD 337854). Regulatory assets under management: $334.6M.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Ashok Kumar Bhatia | MANAGING DIRECTOR AND CHIEF EXECUTIVE OFFICER | Chicago, IL |
| Kenneth M Deregt | MANAGING DIRECTOR AND CHIEF OPERATING OFFICER | — |
| Brian Lord | CHIEF COMPLIANCE OFFICER, ASSISTANT SECRETARY AND SENIOR VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-08-13 | regulatory | THE BAFIN ALLEGED THAT IN A SINGLE INSTANCE IN 2021, NBSH WILLFULLY FILED A VOTING RIGHTS NOTIFICATION OF DROPPING BELOW 3% HOLDINGS IN A GERMAN ISSUER SIX WEEKS AFTER THE FILING DEADLINE. | On Appeal | $1.6M |
| 2024-08-13 | regulatory | THE BAFIN ALLEGED THAT IN A SINGLE INSTANCE IN 2021, NBSH WILLFULLY FILED A VOTING RIGHTS NOTIFICATION OF DROPPING BELOW 3% HOLDINGS IN A GERMAN ISSUER SIX WEEKS AFTER THE FILING DEADLINE. | Final | $580K |