# SEC Exchange Act of 1934 order 34-97172
> Respondent: **BNY Mellon Securities LLC and Mark Shaw** · 2023-03-20 · File 3-14191, 3-14192
## Proceeding
- **Release Number:** 34-97172
- **Act:** Exchange Act of 1934
- **File Number:** 3-14191, 3-14192
- **Publish Date:** 2023-03-20
## Respondents
- BNY Mellon Securities LLC and Mark Shaw
## Order PDF

- [https://www.sec.gov/files/litigation/admin/2023/34-97172.pdf](https://www.sec.gov/files/litigation/admin/2023/34-97172.pdf)

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