Basic Search  |  Summaries  |  Advanced Search

Top 5 Offense Groups (Groups Defined)	Penalty Total	Number of Records
financial offenses	$1,049,557,564	27
employment-related offenses	$421,388,037	4
government-contracting-related offenses	$34,630,405	2
competition-related offenses	$14,830,000	2

Top 5 Primary Offense Types	Penalty Total	Number of Records
banking violation	$890,516,000	5
benefit plan administrator violation	$421,200,000	3
investor protection violation	$120,795,447	14
anti-money-laundering deficiencies	$38,000,000	1
False Claims Act and related	$34,630,405	2

Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

Company	Primary Offense Type	Year	Agency	Penalty Amount
Bank of New York Mellon	banking violation	2015	USAO	$714,000,000
Bank of New York Mellon Corporation	benefit plan administrator violation	2015	private lawsuit-federal	$335,000,000
Bank of New York Mellon	banking violation	2015	NY-AG	$167,500,000
Bank of New York Mellon	benefit plan administrator violation	2015	EBSA	$84,000,000
Bank of New York Mellon	investor protection violation	2018	SEC	$54,000,000
The Bank of New York	anti-money-laundering deficiencies	2005	USAO	$38,000,000
Bank of New York Mellon	investor protection violation	2013	FL-AG	$28,000,000
BNY Mellon Securities LLC	investor protection violation	2011	SEC	$24,045,447
Mellon Bank N.A.	False Claims Act and related	2006	USAO	$18,130,405
Mellon Bank, N.A.	False Claims Act and related	2007	DOJ_CIVIL	$16,500,000
BNY Mellon	Foreign Corrupt Practices Act	2015	SEC	$14,800,000
BNY Mellon	investor protection violation	2017	SEC	$6,600,000
THE BANK OF NEW YORK MELLON	banking violation	2012	FED	$6,000,000
Bank of New York Mellon Corporation	banking violation	2017	FED	$3,000,000
Bank of New York Mellon Corporation	benefit plan administrator violation	2009	private lawsuit-federal	$2,200,000
Dreyfus Corporation	investor protection violation	2000	NY-AG	$2,000,000
BNY Mellon Investment Adviser, Inc.	investor protection violation	2022	SEC	$1,500,000
Bank of New York Mellon Corp.	investor protection violation	2011	MULTI-AG	$1,300,000
Dreyfus Corporation	investor protection violation	2000	SEC	$950,000
The Bank Of New York	investor protection violation	2007	SEC	$750,000
Bank of New York Mellon	investor protection violation	2019	CFTC	$750,000
BNY Mellon Capital Markets LLC	investor protection violation	2011	TX-SEC	$500,000
BNY Mellon Capital Markets, LLC	investor protection violation	2008	FINRA	$250,000
Bank of New York Mellon	employment discrimination	2010	NJ-AG	$188,037
Bank of New York	economic sanction violation	2004	OFAC	$137,500
BNY Mellon Capital Markets, LLC	investor protection violation	2015	SEC	$120,000
Bank of New York	economic sanction violation	2004	OFAC	$34,623
Bank of New York Mellon (Shanghai Branch)	export control violation	2011	BIS	$30,000
BNY Mellon Shareowner Services	investor protection violation	2010	MA-AG	$30,000
Bank of New York	economic sanction violation	2004	OFAC	$27,500
Bank of New York	economic sanction violation	2003	OFAC	$24,750
Bank of New York Mellon	banking violation	2018	FED	$16,000
Mellon Bank N.A.	economic sanction violation	2004	OFAC	$10,400
The Bank of New York	economic sanction violation	2005	OFAC	$5,844
Bank of New York	economic sanction violation	2004	OFAC	$5,500