Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Bank of New York Mellon Corp.
Current Parent Company: Bank of New York Mellon
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $1,300,000
Year: 2011
Date: December 22, 2011
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: 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 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.