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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Bank of New York Mellon
Ownership Structure: publicly traded (ticker symbol BK)
Headquartered in: New York
Major Industry: financial services
Specific Industry: banking
Penalty total since 2000$1,520,406,006
Number of records: 35
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$1,049,557,56427
employment-related offenses$421,388,0374
government-contracting-related offenses$34,630,4052
competition-related offenses$14,830,0002
Top 5 Primary Offense TypesPenalty TotalNumber of Records
banking violation$890,516,0005
benefit plan administrator violation$421,200,0003
investor protection violation$120,795,44714
anti-money-laundering deficiencies$38,000,0001
False Claims Act and related$34,630,4052
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.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon
Bank of New York Mellonbanking violation2015USAO$714,000,000
Bank of New York Mellon Corporationbenefit plan administrator violation2015private lawsuit-federal$335,000,000
Bank of New York Mellonbanking violation2015NY-AG$167,500,000
Bank of New York Mellonbenefit plan administrator violation2015EBSA$84,000,000
Bank of New York Melloninvestor protection violation2018SEC$54,000,000
The Bank of New Yorkanti-money-laundering deficiencies2005USAO$38,000,000
Bank of New York Melloninvestor protection violation2013FL-AG$28,000,000
BNY Mellon Securities LLCinvestor protection violation2011SEC$24,045,447
Mellon Bank N.A.False Claims Act and related2006USAO$18,130,405
Mellon Bank, N.A.False Claims Act and related2007DOJ_CIVIL$16,500,000
BNY MellonForeign Corrupt Practices Act2015SEC$14,800,000
BNY Melloninvestor protection violation2017SEC$6,600,000
THE BANK OF NEW YORK MELLONbanking violation2012FED$6,000,000
Bank of New York Mellon Corporationbanking violation2017FED$3,000,000
Bank of New York Mellon Corporationbenefit plan administrator violation2009private lawsuit-federal$2,200,000
Dreyfus Corporationinvestor protection violation2000NY-AG$2,000,000
BNY Mellon Investment Adviser, Inc.investor protection violation2022SEC$1,500,000
Bank of New York Mellon Corp.investor protection violation2011MULTI-AG$1,300,000
Dreyfus Corporationinvestor protection violation2000SEC$950,000
The Bank Of New Yorkinvestor protection violation2007SEC$750,000
Bank of New York Melloninvestor protection violation2019CFTC$750,000
BNY Mellon Capital Markets LLCinvestor protection violation2011TX-SEC$500,000
BNY Mellon Capital Markets, LLCinvestor protection violation2008FINRA$250,000
Bank of New York Mellonemployment discrimination2010NJ-AG$188,037
Bank of New Yorkeconomic sanction violation2004OFAC$137,500
BNY Mellon Capital Markets, LLCinvestor protection violation2015SEC$120,000
Bank of New Yorkeconomic sanction violation2004OFAC$34,623
Bank of New York Mellon (Shanghai Branch)export control violation2011BIS$30,000
BNY Mellon Shareowner Servicesinvestor protection violation2010MA-AG$30,000
Bank of New Yorkeconomic sanction violation2004OFAC$27,500
Bank of New Yorkeconomic sanction violation2003OFAC$24,750
Bank of New York Mellonbanking violation2018FED$16,000
Mellon Bank N.A.economic sanction violation2004OFAC$10,400
The Bank of New Yorkeconomic sanction violation2005OFAC$5,844
Bank of New Yorkeconomic sanction violation2004OFAC$5,500
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.