BNY MELLON ADVISORS, INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 106108). Regulatory assets under management: $33.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Other.
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| Name | Role | Location |
|---|---|---|
| MICHAEL NUZZO | DIRECTOR | LOS ANGELES, CA |
| David John Dipetrillo | DIRECTOR | — |
| Stephanie Miller Pierce | DIRECTOR | — |
| Michael Anthony Germano | CHIEF OPERATING OFFICER | — |
| Jaime Rene Utano | CHIEF COMPLIANCE OFFICER | — |
| Cristina Marie Rice | SECRETARY | — |
| Ainslie Simmonds | DIRECTOR | — |
| Christopher Edward Vella | PRESIDENT, DIRECTOR, CHAIRPERSON | — |
| Abraham Shua | DIRECTOR | — |
| Kimberly Mackenzie-Perman | CHIEF FINANCIAL OFFICER | — |
| Paul Anthony Weir | CHIEF OPERATING OFFICER, DIRECTOR | — |
| Natalya Sergey Zelensky | CHIEF COMPLIANCE OFFICER | — |
| MASTRO THOMAS J | TREASURER; TREASURER/VICE PRESIDENT | — |
| BICKET PATRICIA ANN | SECRETARY | — |
| BRUECKNER RICHARD FREDERICK | DIRECTOR | — |
| JOHNSON ROBERT THOMAS | CHIEF COMPLIANCE OFFICER | — |
| SHOLES THOMAS PATRICK | CHAIRMAN, DIRECTOR; CHAIRMAN, DIRECTOR, PRESIDENT | — |
| HOPKINS DAVID RICHARD | DIRECTOR | — |
| SCARPATI GERARD | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER/ASST. TREASURER; CHIEF FINANCIAL OFFICER/ASST. TREASURER/VP | — |
| RICCIARDI LUIGI J | DIRECTOR | — |
| RICE JEANETTE MARIE | ASSISTANT SECRETARY; SECRETARY | — |
| REINHART LEONARD ALAN | DIRECTOR; DIRECTOR/VP; LFG DIRECTOR/SHAREHOLDER (+3 more) | — |
| DETWILER ELIZABETH C | ASSISTANT SECRETARY; ASST. SECRETARY | — |
| ZANGRE ANTHONY | VICE PRESIDENT | — |
| SISLER HEATHER | ASST. SECRETARY | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-03-11 | regulatory | IA RELEASE 40-5287/MARCH 11, 2019: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE AND DESIST PROCEEDINGS BE INSTITUTED AGAINST LOCKWOOD ADVISORS, INC. ("RESPONDENT"). BASED ON THIS ORDER, AND THE RESPONDENT'S OFFER OF SETTL… | Final | — |
| 2018-08-14 | regulatory | THE SEC STAFF ALLEGED VIOLATIONS OF SECTION 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT") AND RULE 206(4)-7 THEREUNDER FOR LOCKWOOD'S FAILURE TO ADOPT AND IMPLEMENT POLICIES AND PROCEDURES REASONABLY DESIGNED TO PROVIDE CLIENTS OR THEIR INVESTMENT ADVISERS WITH MATERIAL INFORMATION… | Final | $200K |
| 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 | SEC RELEASE NO. 34-75720; ACCOUNTING & AUDIT ENFORCEMENT RELEASE NO. 3679; ADMIN PROCEEDING FILE NO. 3-16762. | 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 CORPORATION ("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 ("LOCKWOOD") IS NOT A DEFENDANT TO THIS… | Pending | — |
| 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 ENRICH… | Final | — |
| City | State | Employees | Phone |
|---|---|---|---|
| BOSTON | MA | 7 | 617-248-6016 |
| PITTSBURGH | PA | 7 | 412-234-2001 |
| SAN FRANCISCO | CA | 5 | 412-234-5000 |
| PENNINGTON | NJ | 0 | 800-200-8033 |