Violation Tracker Individual Record
Date:January 12, 2017
Primary Offense:investor protection violation
BNY Mellon agreed to pay a $6.6 million penalty to settle allegations stemming from miscalculations of its risk-based capital ratios and risk-weighted assets reported to investors.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
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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