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Violation Tracker Individual Record

Company: BNY Mellon Shareowner Services
Current Parent Company: Bank of New York Mellon
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $30,000
Year: 2010
Date: December 2, 2010
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: BNY Mellon Shareowner Services and Unclaimed Property Recovery & Reporting, LLC agreed to pay jointly pay $30,000 to the Commonwealth and provide full refunds to consumers in settlement of allegations they misled investors in Chevron Corp. about their rights and costs to obtain replacement stock certificates and dividend checks.
Level of Government: state
Action Type: agency action
Agency: Massachusetts Attorney General
Civil or Criminal Case: civil
Facility State: Massachusetts
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.