MELLON HEDGE ADVISORS, LLC of BOSTON, MA is an SEC-registered investment adviser (CRD 133402).
Compensation: Other.
Clients served: Other.
Showing 25 of 26 people.
| Name | Role | Location |
|---|---|---|
| Anthony Joseph Mastrocola | VICE PRESIDENT | — |
| Christina Sujin King | TREASURER | — |
| Sinead Colton | PRESIDENT AND SOLE MANAGER | — |
| Katherine Chin | CHIEF COMPLIANCE OFFICER | Exton, PA |
| GROHOWSKI LEO P | PRESIDENT; PRESIDENT & SOLE MANAGER | — |
| MEDINA NICOLAS ETTORE | CHIEF COMPLIANCE OFFICER | — |
| KEBLUSEK LAWRENCE PAUL | SENIOR VICE PRESIDENT | — |
| HUGHES LAWRENCE | MANAGING MEMBER; PRESIDENT; PRESIDENT / MANAGING MEMBER | — |
| POWELL RIDGWAY HUNTER | FIRST VICE PRESIDENT; VP-CHAIR OF INVESTMENT COMMITTEE | — |
| CAIN KATHERINE MACBETH | CHIEF COMPLIANCE OFFICER | — |
| MOSSMAN DAVID KENT | CHIEF OPERATING OFFICER | — |
| MORALES JUAN CARLOS | TREASURER | — |
| VARMA ATUL | TREASURER | — |
| BRAITHWAITE JULIA | CHIEF COMPLIANCE OFFICER | — |
| BRISTOW GEORGE ROBERT | CHIEF COMPLIANCE OFFICER | — |
| BARBER SCOTT JEFFREY | CHIEF COMPLIANCE OFFICER | — |
| SYLVESTER CHARRON TERRY | VICE PRESIDENT | — |
| O'HARA MARY ANN | CHIEF OPERATING OFFICER | — |
| COLTON SINEAD | PRESIDENT AND SOLE MANAGER | — |
| LAROCHE-MORRIS RENEE MICHELLE | TREASURER | — |
| MASTROCOLA ANTHONY JOSEPH | VICE PRESIDENT; VP - CHAIR OF INVESTMENT COMMITTEE | — |
| BERENBLUM TED ALLEN | CHIEF OPERATING OFFICER | — |
| HEILBORN ALLISON DIANA | TREASURER | — |
| KING CHRISTINA SUJIN | TREASURER | — |
| SEXTON MELISSA | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 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 |
| 2017-01-12 | 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 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. 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 | — |