MELLON INVESTMENTS CORPORATION of PITTSBURGH, PA is an SEC-registered investment adviser (CRD 105764). Regulatory assets under management: $873.9B.
Compensation: % of AUM, Fixed, Other.
Clients served: High net worth, Pooled vehicles, Investment cos.
Showing 25 of 106 people.
| Name | Role | Location |
|---|---|---|
| Stephanie Miller Pierce | CHIEF EXECUTIVE OFFICER & DIRECTOR | — |
| Michael Anthony Germano | CHIEF OPERATING OFFICER | — |
| Kimberly Mackenzie-Perman | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER & DIRECTOR | — |
| Lori Ann Najjar | CHIEF COMPLIANCE OFFICER | — |
| John Haukur Tobin | CIO, DREYFUS | — |
| Marlene Rae Walker | CIO, MELLON | — |
| Stephanie Lynnette Hill | HEAD OF INDEX, MELLON | — |
| David Wayne Kingsley | CHIEF OPERATING OFFICER | — |
| HO MICHAEL CHIMIN | EVP & CHIEF INVESTMENT OFFICER | — |
| CANTER STEPHEN EDWARD | BOARD OF DIRECTORS | — |
| ZYLA KURT | MANAGING DIRECTOR, INDEXING AND ETF STRATEGIST | — |
| NAGORNIAK JOHN JOSEPH | BOARD OF DIRECTORS | — |
| HARRIS MITCHELL EVAN | BOARD OF DIRECTORS; DIRECTOR | — |
| O'HANLEY RONALD PHILIP | BOARD OF DIRECTORS | — |
| WENNERHOLM SCOTT EDWARD | BOARD OF DIRECTORS | — |
| NAGONIAK JOHN JOSEPH | BOARD OF DIRECTORS | — |
| RYDELL WILLIAM PAUL | BOARD OF DIRECTORS; BOARD OF DIRECTORS & VICE CHAIRMAN | — |
| GALA RONALD PAUL | DIRECTOR, ACTIVE EQUITY STRATEGIES; MANAGING DIRECTOR, ACTIVE EQUITY STRATEGIES; MANAGING DIRECTOR, SENIOR PORTFOLIO MANAGER | — |
| DURANTE THOMAS JOSEPH | MANAGING DIRECTOR, SENIOR PORTFOLIO MANAGER | — |
| CASSEDY JENNIFER | CHIEF COMPLIANCE OFFICER | — |
| WATSON RICHARD KIRVAN | EVP & GLOBAL HEAD OF DISTRIBUTION; EXECUTIVE VICE PRESIDENT, HEAD OF GLOBAL DISTRIBUTION | — |
| SHEPPARD PATRICK JAMES | TREASURER | — |
| LADD EDWARD HOMER | BOARD OF DIRECTORS | — |
| CONDRON CHRISTOPHER MARK | BOARD OF DIRECTORS | — |
| BUCKLEY OLIVER ELLSWORTH | BOARD OF DIRECTORS; EVP & CIO ACTIVE EQUITY STRATEGIES; EVP & HEAD OF ACTIVE EQUITY STRATEGIES | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-06-15 | regulatory | THE REGISTRANT WAS ALLEGED TO HAVE VIOLATED CBOT RULE 562 BY EXCEEDING SPECULATIVE POSITION LIMITS IN SOYBEAN OIL FUTURES FROM SEPTEMBER 11, 2019, THROUGH SEPTEMBER 13, 2019, AND BRINGING THE POSITION INTO COMPLIANCE ON SEPTEMBER 16, 2019. | Final | $25K |
| 2017-11-29 | regulatory | ON 21 FEBRUARY 2019, THE UK FINANCIAL CONDUCT AUTHORITY ("FCA") FOUND THAT NEWTON INVESTMENT MANAGEMENT LIMITED ("NIM"), THROUGH THE ACTIONS OF A FORMER EMPLOYEE IN 2014 AND 2015, SHARED INFORMATION WITH THREE OTHER UK INVESTMENT ADVISERS IN RELATION TO TWO INITIAL PUBLIC OFFERINGS AND ONE PLACING B… | Final | — |
| 2017-06-26 | regulatory | THE FEDERAL RESERVE ALLEGED VIOLATIONS OF REGULATION Y OF THE BOARD OF GOVERNORS (12 C.F.R. ? 225) FOR ITS REGULATORY ACCOUNTING TREATMENT OF CERTAIN ASSETS OF VARIABLE INTEREST ENTITIES (THE "VIES"). | Final | $3.0M |
| 2017-06-26 | regulatory | THE FEDERAL RESERVE ALLEGED VIOLATIONS OF REGULATION Y OF THE BOARD OF GOVERNORS (12 C.F.R. § 225) FOR ITS REGULATORY ACCOUNTING TREATMENT OF CERTAIN ASSETS OF VARIABLE INTEREST ENTITIES (THE "VIES"). | Final | $3.0M |
| 2017-01-12 | regulatory | THE SEC STAFF ALLEGED VIOLATIONS OF SECTIONS 13(B)(2)(A) & (B) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR BOOKS AND RECORDS AND INTERNAL REGULATORY ACCOUNTING CONTROL DEFICIENCIES IN CONNECTION WITH THE CALCULATION OF RISK-BASED REGULATORY CAPITAL RATIOS PRESENTED IN ANNUAL AND QUARTERLY REPORTS FIL… | Final | $6.6M |
| 2015-08-18 | regulatory | THE SEC STAFF ALLEGED VIOLATIONS OF THE U.S. FOREIGN CORRUPT PRACTICES ACT IN CONNECTION WITH THE PROVISION OF A LIMITED NUMBER OF INTERNSHIPS TO RELATIVES OF SOVEREIGN WEALTH FUND OFFICIALS. | Final | $14.8M |
| 2012-03-12 | civil | THIS LAWSUIT ALLEGES THAT THE BANK OF NEW YORK MELLON CORPORATION ("BNY MELLON") IMPROPERLY CHARGED AND REPORTED PRICES FOR STANDING INSTRUCTION FOREIGN EXCHANGE ("FX") TRANSACTIONS EXECUTED IN CONNECTION WITH CUSTODY SERVICES PROVIDED BY BNY MELLON. PLAINTIFFS ASSERT CLAIMS FOR BREACH OF CONTRACT,… | Final | — |
| 2011-10-04 | civil | THE LAWSUIT ALLEGES THAT THE BANK OF NEW YORK MELLON (THE "BANK") IMPROPERLY CHARGED AND REPORTED PRICES FOR STANDING INSTRUCTION FOREIGN EXCHANGE ("FX") TRANSACTIONS EXECUTED IN CONNECTION WITH CUSTODY SERVICES PROVIDED BY THE BANK. THE REGISTRANT IS NOT A DEFENDANT TO THIS ACTION. | Final | — |
| 2011-06-01 | civil | THIS IS A PUTATIVE CLASS ACTION ALLEGING THAT BNY MELLON IMPROPERLY CHARGED AND REPORTED PRICES FOR STANDING INSTRUCTION FOREIGN EXCHANGE TRANSACTIONS EXECUTED IN CONNECTION WITH CUSTODY SERVICES PROVIDED BY BNY MELLON. PLAINTIFF ASSERTS BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, AND UNJUST ENRIC… | Final | — |