JM FINANCIAL PRIVATE WEALTH, INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 341113).
Compensation: % of AUM, Fixed.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Jonathan Scott Hurd | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND INTERIM CEO | — |
| Arunava Aloke Das | CHIEF EXECUTIVE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-03-07 | regulatory | PRIMA FACIE VIOLATION OF CERTAIN REGULATIONS ISSUED BY SEBI. | Final | $730K |
| 2023-05-05 | regulatory | SEBI HAD ISSUED A SHOW-CAUSE NOTICE DATED MAY 25, 2023 ("SCN") IN THE MATTER OF VOLUNTARY DELISTING OFFER BY ONE OF THE CLIENTS OF JM FINANCIAL LIMITED ("JMFL") TO CERTAIN ENTITIES, INCLUDING JMFL. IT WAS ALLEGED IN THE SCN THAT JMFL FAILED TO EXERCISE DUE DILIGENCE, CARE AND PROFESSIONAL JUDGEMENT… | Final | $18K |