Violation Tracker Individual Record
Company:Bank of New York Mellon Corp.
Date:December 22, 2011
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:securities issuance or trading violation
Bank of New York Mellon Corp. agreed to pay $1.2 million to New York, Texas and Florida to settle an investigation into manipulative trading of auction rate securities.
Level of Government:state
Action Type:agency action
Agency:Multistate Attorneys General Case
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:New York
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking
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