0001227021-12-000003.txt : 20120224 0001227021-12-000003.hdr.sgml : 20120224 20120224123754 ACCESSION NUMBER: 0001227021-12-000003 CONFORMED SUBMISSION TYPE: TA-1/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20120215 DATE AS OF CHANGE: 20120224 EFFECTIVENESS DATE: 20120225 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BROWN BROTHERS HARRIMAN & CO CENTRAL INDEX KEY: 0001227021 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: TA-1/A SEC ACT: 1934 Act SEC FILE NUMBER: 084-06072 FILM NUMBER: 12636718 BUSINESS ADDRESS: STREET 1: 140 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 212-483-1818 TA-1/A 1 primary_doc.xml X0303 TA-1/A LIVE 3.2.0 0001227021 084-06072 SEC Brown Brothers Harriman & Co. 269159 50 Milk Street Boston MA MASSACHUSETTS 02109 true 40 Water Street Boston MA MASSACHUSETTS 02109 617.742.1818 true 525 Washington Street Newport Tower Jersey City NJ NEW JERSEY 07310 For non-qualifying securities Styne House, Upper Hatch Street Dublin L2 IRELAND For non-qualifying securities 2-8 Avenue Charles De Gaulle, B.P. 403 L-2014, Luxembourg N4 LUXEMBOURG For non-qualifying securities 1 Austin Road West Kowloon K3 HONG KONG false false false Partnership Thomas E. Berk 2005-01-01 Partner NA true Brian A. Berris 1991-01-01 Partner NA true Taylor S. Bodman 1999-01-01 Partner NA true John J. Borland 1998-01-01 Partner NA false Timothy J. Connelly 2001-01-01 Partner NA true Geoffrey M. Cook 2009-01-01 Partner NA true Carl S. Cutler 2008-01-01 Partner NA true Douglas A. Donohue, Jr. 1990-01-01 Partner A true Dario Galindo 2003-01-01 Partner NA true Kathryn C. George 1998-01-01 Partner NA true Kristen Giarrusso 2011-01-01 Partner NA true Timothy E. Hartch 2010-01-01 Partner NA true Kyosuke Hashimoto 1992-01-01 Partner NA true Landon Hilliard III 1979-01-01 Partner NA true Jeffrey R. Holland 2006-01-01 Partner NA true Charles O. Izard 2004-01-01 Partner NA true Jared S. Keyes 2011-01-01 Partner NA true Radford W. Klotz 1995-01-01 Partner A true Susan C. Livingston 1998-01-01 Partner NA true T. Michael Long 1984-01-01 Partner NA true Hampton S. Lynch, Jr. 1984-01-01 Partner A true Michael W. McConnell 1984-01-01 Partner NA true Jeffrey B. Meskin 2011-01-01 Partner NA true John P. Molner 2001-01-01 Partner NA true Donald B. Murphy 1983-01-01 Partner NA true Yukinori Nagahisa 2004-01-01 Partner NA true John A. Nielsen 1987-01-01 Partner NA true Sean Pairceir 2010-01-01 Partner NA true Christopher C. Remondi 2012-01-01 Partner NA true A. Heaton Robertson III 1994-01-01 Partner NA true William E. Rosensweig 2012-01-01 Partner NA true Jeffrey A. Schoenfeld 1996-01-01 Partner A true Kevin W. Stone 2009-01-01 Partner NA true W. Carter Sullivan III 2000-01-01 Partner NA true Andrew J.F. Tucker 1998-01-01 Partner NA true Lawrence C. Tucker 1979-01-01 Partner NA true William B. Tyree 2001-01-01 Partner NA true Maroa C. Velez 2008-01-01 Partner NA true Douglas C. Walker 1998-01-01 Partner A true William J. Whelan, Jr. 2000-01-01 Partner NA true Richard H. Witmer, Jr. 1998-01-01 Partner A true false false false false false false false false false false false false false false false false false true The applicant NYSE Hearing Board Decision 06-200 2006-11-13 New York Stock Exchange LLC, New York, NY The enforcement staff's allegations included failure to establish and maintain adequate policies and procedures relating to the identification of, and association with, individuals subject to statutory disqualification, and the prompt reporting to the NYSE of the existence of certain events required to be reported by NYSE rules. Without admitting or denying guilt, BBH consented to a censure and fine in connection with the allegations. In addition, BBH implemented enhanced policies and procedures with respect to its hiring process and employee reporting requirements. false false false false false false Amy L. Morris Senior Vice President 617.772.1490 2012-02-15