Violation Tracker Parent Company Summary

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: 
$1,300,272,564
Number of records: 
25
Top 10 Primary Offense TypesPenalty TotalNumber of Records
banking violation$723,016,0004
benefit plan administrator violation$421,200,0003
investor protection violation$86,345,4475
anti-money-laundering deficiencies$38,000,0001
False Claims Act$16,500,0001
Foreign Corrupt Practices Act$14,800,0001
economic sanction violation$246,1177
securities issuance or trading violation$120,0001
export control violation$30,0001
environmental violation$15,0001
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 dollar total above may be adjusted to account for the fact that the list of 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. Duplicate penalty amounts are marked with an asterisk in the list below.

Associated Names: 

BANK OF NEW YORK; BANK OF NEW YORK MELLON - 101 BARCLAY; BANK OF NEW YORK MELLON SHANGHAI BRANCH; BNY MELLON; BNY MELLON CAPITAL MARKETS; BNY MELLON SECURITIES; Dreyfus Corporation; MELLON BANK NA

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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Companysort icon Primary Offense Type Year Agency Penalty Amount
Bank of New York economic sanction violation 2004 OFAC $137,500
Bank of New York economic sanction violation 2004 OFAC $34,623
Bank of New York economic sanction violation 2004 OFAC $27,500
Bank of New York economic sanction violation 2004 OFAC $5,500
Bank of New York economic sanction violation 2003 OFAC $24,750
Bank of New York Mellon banking violation 2015 USAO $714,000,000
Bank of New York Mellon benefit plan administrator violation 2015 EBSA $84,000,000
Bank of New York Mellon banking violation 2018 FED $16,000
Bank of New York Mellon investor protection violation 2018 SEC $54,000,000
Bank of New York Mellon (Shanghai Branch) export control violation 2011 BIS $30,000
BANK OF NEW YORK MELLON - 101 BARCLAY environmental violation 2005 EPA $15,000
Bank of New York Mellon Corporation banking violation 2017 FED $3,000,000
Bank of New York Mellon Corporation benefit plan administrator violation 2015 private lawsuit-federal $335,000,000
Bank of New York Mellon Corporation benefit plan administrator violation 2009 private lawsuit-federal $2,200,000
BNY Mellon Foreign Corrupt Practices Act 2015 SEC $14,800,000
BNY Mellon investor protection violation 2017 SEC $6,600,000
BNY Mellon Capital Markets, LLC securities issuance or trading violation 2015 SEC $120,000
BNY Mellon Securities LLC investor protection violation 2011 SEC $24,045,447
Dreyfus Corporation investor protection violation 2000 SEC $950,000
Mellon Bank N.A. economic sanction violation 2004 OFAC $10,400
Mellon Bank, N.A. False Claims Act 2007 DOJ_CIVIL $16,500,000
The Bank of New York economic sanction violation 2005 OFAC $5,844
The Bank of New York anti-money-laundering deficiencies 2005 USAO $38,000,000
The Bank Of New York investor protection violation 2007 SEC $750,000
THE BANK OF NEW YORK MELLON banking violation 2012 FED $6,000,000
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