In the Matter of Mark Shaw, Adm. Proc. File No. 3-14192 (Jan. 14, 2011) is a proceeding related to the BNY Mellon action. Respondent Mark Shaw was a registered representative and the institutional desk order manager at Mellon Securities. The Order here, based on essentially the same conduct as in BNY Mellon, alleges violations of Securities Act Section 17(a) and Exchange Act Section 10(b). Mr. Saw resolved the action by consenting to the entry of a cease and desist order based on the Sections cited in the Order and agreeing to be barred from association with any broker. He will also pay disgorgement of $195,300 along with prejudgment interest and a civil penalty of $150,000.