# SEC Securities Act of 1933 order 33-9174, 34-63275
> Respondent: **BNY Mellon Securities LLC and Mark Shaw** · — · File 3-14192
## Proceeding
- **Release Number:** 33-9174, 34-63275
- **Act:** Securities Act of 1933
- **File Number:** 3-14192
- **Publish Date:** —
## Respondents
- BNY Mellon Securities LLC and Mark Shaw
## Order PDF

- [https://www.sec.gov/files/litigation/admin/2011/33-9174.pdf](https://www.sec.gov/files/litigation/admin/2011/33-9174.pdf)

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*Source: [SEC Administrative Proceedings](https://www.sec.gov/litigation/admin) · AI Analytics · CC0 1.0*