SEC
Whistleblower
Attorneys

December 17, 2018

The Bank of New York Mellon

Trading and Pricing

SANCTION AMOUNT: 54187554.82

Defendants: The Bank of New York Mellon

The Commission found that Respondent improperly provided American Depositary Receipts (ADRs) to brokers in thousands of pre-release transactions when neither the brokers nor their customers had the foreign shares needed to support them, leading to inappropriate short selling and dividend arbitrage.

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
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