Home > New York Private Trust Company > Fiduciary settlements, surcharges, and other losses
New York Private Trust Company, Fiduciary settlements, surcharges, and other losses
| 2010-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | $0 | 9 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 4 |
| Employee benefit and retirement-related gross losses for managed accounts | $0 | 4 |
| Gross losses for investment management and investment managed accounts | $0 | 7 |
| Gross losses for other fiduciary accounts and related managed accounts | $0 | 1 |
| Gross losses for non-managed accounts | $0 | 2 |
| Fiduciary settlements, surcharges, and other losses | $0 | 1 |
| Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 2 |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 1 |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 1 |
| Recoveries fiduciary and related services income | $0 | 3 |
| Fiduciary settlements, surcharges, and other - recoveries | $0 | 2 |
| Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 1 |
| Investment management and investment advisory agency accounts recoveries | $0 | 3 |
| Other fiduciary accounts and related services-recoveries | $0 | 1 |
| 2010-06-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | $0 | 8 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 3 |
| Employee benefit and retirement-related gross losses for managed accounts | $0 | 4 |
| Gross losses for investment management and investment managed accounts | $0 | 6 |
| Gross losses for other fiduciary accounts and related managed accounts | $0 | 1 |
| Gross losses for non-managed accounts | $0 | 2 |
| Fiduciary settlements, surcharges, and other losses | $0 | 1 |
| Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 2 |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 1 |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 1 |
| Recoveries fiduciary and related services income | $0 | 4 |
| Fiduciary settlements, surcharges, and other - recoveries | $0 | 2 |
| Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 2 |
| Investment management and investment advisory agency accounts recoveries | $0 | 3 |
| Other fiduciary accounts and related services-recoveries | $0 | 1 |
| 2010-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | $0 | 5 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 2 |
| Employee benefit and retirement-related gross losses for managed accounts | $0 | 4 |
| Gross losses for investment management and investment managed accounts | $0 | 2 |
| Gross losses for other fiduciary accounts and related managed accounts | $0 | 1 |
| Gross losses for non-managed accounts | $0 | 2 |
| Fiduciary settlements, surcharges, and other losses | $0 | 1 |
| Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 2 |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 1 |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 1 |
| Recoveries fiduciary and related services income | $0 | 3 |
| Fiduciary settlements, surcharges, and other - recoveries | $0 | 2 |
| Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 1 |
| Investment management and investment advisory agency accounts recoveries | $0 | 2 |
| Other fiduciary accounts and related services-recoveries | $0 | 1 |
| 2009-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | $0 | 187 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 142 |
| Employee benefit and retirement-related gross losses for managed accounts | $0 | 90 |
| Gross losses for investment management and investment managed accounts | $0 | 100 |
| Gross losses for other fiduciary accounts and related managed accounts | $0 | 50 |
| Gross losses for non-managed accounts | $0 | 111 |
| Fiduciary settlements, surcharges, and other losses | $0 | 37 |
| Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 66 |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 26 |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 62 |
| Recoveries fiduciary and related services income | $0 | 75 |
| Fiduciary settlements, surcharges, and other - recoveries | $0 | 48 |
| Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 29 |
| Investment management and investment advisory agency accounts recoveries | $0 | 27 |
| Other fiduciary accounts and related services-recoveries | $0 | 34 |
| 2009-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2009-06-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2009-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2008-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2008-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2008-06-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2008-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2007-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2007-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2007-06-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2007-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2006-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2006-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |