Defendant Name:
Lockwood Advisors, Incorporated
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Bank of New York Mellon Corporation
SIC Code:
6022
CUSIP:
06405810
Initial Case Details
Legal Case Name
In the Matter of Lockwood Advisors, Inc.
First Document Date
11-Mar-2019
Initial Filing Format
Administrative Action
File Number
3-19090
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Sections 206(2), 207 Advisers Act
Resolutions
First Resolution Date
11-Mar-2019