INSTINET, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 7897). This firm reports disciplinary history on Form ADV.
Compensation: Other.
Clients served: Other.
Showing 25 of 27 people.
| Name | Role | Location |
|---|---|---|
| Faron Ross Webb | GENERAL COUNSEL | — |
| Alice M Kenniff | ASSOCIATE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISER) | — |
| Julie Marie Siskovic | CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2) | — |
| Christy E Schaffner | PRINCIPAL FINANCIAL OFFICER | — |
| Eugene James Chiulli | CHIEF FINANCIAL OFFICER | — |
| Gerard Thomas Milligan | PRESIDENT | — |
| Randi J Cone | CHIEF COMPLIANCE OFFICER | — |
| William Francis Jr Hughes | HEAD OF OPERATIONS | — |
| Luke Mauro | HEAD OF OPERATIONS | — |
| SISKOVIC JULIE MARIE | CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2) | — |
| ROBERTS JOE ROBERT JR | CHIEF EXECUTIVE OFFICER | — |
| WEBB FARON ROSS | GENERAL COUNSEL | — |
| CHIULLI EUGENE JAMES | CHIEF FINANCIAL OFFICER | — |
| MAURO LUKE | HEAD OF OPERATIONS | — |
| CHIARAMONTE MARC ANTHONY | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER OF INSTINET BD | — |
| RICHMOND LAURE E | CHIEF FINANCIAL OFFICER | — |
| GOVONI MARK JAMES | PRESIDENT | — |
| KENNIFF ALICE M | ASSOCIATE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISER); CHIEF COMPLIANCE OFFICER OF INSTINET ADV | — |
| HALPIN IRENE ANN | ASSOCIATE GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER ( BROKER DEALER, NON-CBOE/C2) AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | — |
| ULZ CHRISTOPHER PETER | CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2) | — |
| PATTI LEONARD WILLIAM | DEPUTY ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | — |
| SIERADZKI DAVID SETH | ASSOCIATE GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER (BROKER DEALER, NON-CBOE/C2); ASSOCIATE GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER (BROKER DEALER, NON-CBOE/C2) AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | — |
| PRATNICKI GREG | ANTI - MONEY LAUNDERING COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER | — |
| WHELAN THOMAS WILLIAM | PRESIDENT | — |
| MILLIGAN GERARD | PRESIDENT | — |
Showing 10 of 55 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $75K |
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS ANDEXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $20K |
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $60K |
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $67K |
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $190K |
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $7K |
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $276K |
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $77K |
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $60K |
| 2018-03-07 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTS TO THE SACTIONS AND TO THE ENTRY OF THE FINDINGS THAT IT WAS NON-COMPLIANT WITH WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $124K |