BNY MELLON SECURITIES CORPORATION of NEW YORK, NY is an SEC-registered investment adviser (CRD 231). Regulatory assets under management: $8.4B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles, Other.
Showing 25 of 69 people.
| Name | Role | Location |
|---|---|---|
| Joseph Schultz | PRESIDENT AND DIRECTOR | Miami, FL |
| Kenneth James Bradle | PRESIDENT AND DIRECTOR | — |
| Hal Robert Marquit | ROSFP (SROP/CROP) & MUNICIPAL SECURITIES PRINCIPAL | — |
| Gregory John Pasquale | CHIEF FINANCIAL OFFICER & TREASURER & FINOP | — |
| David John Dipetrillo | EXECUTIVE VICE PRESIDENT AND DIRECTOR | — |
| Irene Despina Papadoulis | EXECTUVE VICE PRESIDENT AND DIRECTOR | — |
| Robert Brian Saccone | CHIEF COMPLIANCE OFFICER (BROKERDEALER) | — |
| Scott Jared Robinson | CHIEF LEGAL OFFICER | — |
| Jack Edward Osavage | CHIEF TECHNOLOGY OFFICER | — |
| Joseph E Pigott | CHIEF RISK OFFICER | — |
| John William Jr Hunter | CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS) | — |
| John Squillace | CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS) | — |
| MCCORMICK CLIFFORD MICHAEL | EXECUTIVE VICE PRESIDENT | — |
| SABO RICHARD WALTER | EXECUTIVE VICE PRESIDENT | — |
| EGGERS THOMAS FREDERICK | CHAIRMAN AND CEO; CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR | — |
| MOSSMAN DAVID KENT | EXECUTIVE VICE PRESIDENT | — |
| OFFICER JOHN DAVID | PRESIDENT & DIRECTOR | — |
| CARDONA JOHN CHARLES | CHAIRMAN, CO-HEAD & DIRECTOR; CHAIRMAN, EXECUTIVE VICE PRESIDENT & DIRECTOR; EXECUTIVE VICE PRESIDENT (+1 more) | — |
| CONNOLLY JOSEPH WARREN | CCO (INVESTMENT ADVISORY BUSINESS); CHIEF COMPLIANCE OFFICER - (INVESTMENT ADVISORY BUSINESS); CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS) | — |
| PIERCE GARY ROBERT | CHIEF FINANCIAL OFFICER ("CFO") AND DIRECTOR | — |
| MILLARD MICHAEL GERARD | CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR; EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT & DIRECTOR | — |
| MARESCA WILLIAM HOWARD | CFO; CFO & DIRECTOR; CHIEF FINANCIAL OFFICER ("CFO") & DIRECTOR (+2 more) | — |
| KATZ MERCEDES EILEEN | ROSFP (SROP/CROP) & MUNICIPAL SECURITIES PRINCIPAL; SROP/ CROP & MUNICIPAL SECURITIES PRINCIPAL | — |
| STOREN STEPHEN JOSEPH | CCO; CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER ("CCO") | — |
| ROSS NOREEN BERNADETTE | EXECUTIVE VICE PRESIDENT | — |
Showing 10 of 16 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-09-04 | regulatory | ON SEPTEMBER 4, 2025, THE U.S. COMMODITIES FUTURES TRADING COMMISSION ("CFTC") ISSUED A SETTLED ADMINISTRATIVE ORDER AGAINST THE BANK OF NEW YORK MELLON ("BNYM") AND BNY MELLON SECURITIES CORPORATION ("BNYSC"), WHICH FOUND THAT BNYSC VIOLATED SECTION 4G OF THE COMMODITY EXCHANGE ACT ("CEA") AND CFTC… | Final | $500K |
| 2024-08-14 | regulatory | ON AUGUST 14, 2024, THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC") ISSUED A SETTLED ADMINISTRATIVE ORDER IN WHICH IT FOUND THAT BNY MELLON SECURITIES CORPORATION ("BNYMSC") AND PERSHING LLC ("PERSHING") WILLFULLY VIOLATED SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (THE "EXCHANGE ACT")… | Final | $40.0M |
| 2022-05-23 | regulatory | ON MAY 23, 2022, THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ENTERED A SETTLEMENT ORDER, RELATING TO ALLEGED MATERIAL MISSTATEMENTS AND OMISSIONS BY BNY MELLON INVESTMENT ADVISER, INC. ("BNYMIA") CONCERNING THE CONSIDERATION OF ENVIRONMENTAL, SOCIAL, AND GOVERNANCE ("ESG") PRINCIPLES TO MAKE INVE… | Final | $1.5M |
| 2018-10-18 | regulatory | FINRA ALLEGED THAT, DURING THE PERIOD JANUARY 2008 THROUGH APRIL 2017, MBSC FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO MONITOR THE TRANSMITTAL OF FUNDS FROM CUSTOMER ACCOUNTS TO THIRD PARTIES. FINRA ALLEGED THAT THIS RESUL… | Final | — |
| 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 | — |