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 Types | Penalty Total | Number of Records |
|---|---|---|
| banking violation | $723,016,000 | 4 |
| benefit plan administrator violation | $421,200,000 | 3 |
| investor protection violation | $86,345,447 | 5 |
| anti-money-laundering deficiencies | $38,000,000 | 1 |
| False Claims Act | $16,500,000 | 1 |
| Foreign Corrupt Practices Act | $14,800,000 | 1 |
| economic sanction violation | $246,117 | 7 |
| securities issuance or trading violation | $120,000 | 1 |
| export control violation | $30,000 | 1 |
| environmental violation | $15,000 | 1 |
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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Company |
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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