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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$83,354,221,356271
JPMorgan Chase$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
Morgan Stanley$10,167,765,234190

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
Banc of America Securities LLCBank of Americainvestor protection violation2004SEC$10,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2003SEC$200,000,000
Merrill Lynch & Co. Inc.Bank of Americaaccounting fraud or deficiencies2003SEC$80,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2000SEC$5,000,000
Merrill LynchBank of Americainvestor protection violation2016SEC$12,500,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$45,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$22,449
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2013HUD$7,500
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2012HUD$161,180
Bank of America CorpBank of Americaemployment discrimination2013OFCCP$2,181,593
Bank of AmericaBank of Americaemployment discrimination2014EEOC$110,000
Bank of AmericaBank of Americaemployment discrimination2016EEOC$30,000
Merrill LynchBank of Americaemployment discrimination2008EEOC$1,550,000
Bank of America, NABank of Americawage and hour violation2010WHD$5,827
Bank of America, N.A.Bank of Americawage and hour violation2010WHD$18,654
Merrill Lynch & Co., Inc.Bank of Americawage and hour violation2008WHD$516,924
Bank of AmericaBank of AmericaFamily and Medical Leave Act2008WHD$6,500
Bank of AmericaBank of Americawage and hour violation2008WHD$6,209
Bank of America CorporationBank of Americawage and hour violation2006WHD$265,774
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americawage and hour violation2006WHD$7,060
Bank of AmericaBank of Americawage and hour violation2005WHD$12,824
Bank of America CorporationBank of Americawage and hour violation2004WHD$5,972
Countrywide Financial CorporationBank of Americawage and hour violation2004WHD$54,453
Bank of America, National AssociationBank of Americalabor relations violation2013NLRB$18,634
Bank of AmericaBank of Americaemployment discrimination2017OFCCP$1,000,000
Merrill LynchBank of Americainvestor protection violation2017CFTC$2,500,000
Bank of AmericaBank of Americainvestor protection violation2017USAO$2,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americaanti-money-laundering deficiencies2017SEC$13,000,000
Merrill Lynch, Pierce, Fenner & Smith IncBank of Americainvestor protection violation2018SEC$1,404,000
Bank of AmericaBank of Americaexport control violation2017BIS$44,625
Bank of America CorporationBank of Americainvestor protection violation2014SEC$20,000,000
Bank of AmericaBank of AmericaFamily and Medical Leave Act2017WHD$14,528
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$6,000,000
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$7,000,000
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$1,900,000
Bank of AmericaBank of Americawage and hour violation2017private lawsuit-federal$6,600,000
Merrill LynchBank of Americawage and hour violation2016private lawsuit-state$2,645,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-state$4,000,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$3,250,000
Merrill LynchBank of Americawage and hour violation2016private lawsuit-federal$14,000,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$36,000,000
Bank of AmericaBank of Americawage and hour violation2016private lawsuit-federal$2,250,000
Bank of AmericaBank of Americawage and hour violation2015private lawsuit-federal$9,000,000
Countrywide Home Loans Inc.Bank of Americawage and hour violation2015private lawsuit-federal$9,649,000
Merrill LynchBank of Americawage and hour violation2014private lawsuit-federal$6,900,000
Bank of AmericaBank of Americawage and hour violation2013private lawsuit-federal$73,000,000
Merrill LynchBank of Americawage and hour violation2013private lawsuit-federal$12,000,000
Merrill LynchBank of Americawage and hour violation2013private lawsuit-federal$21,000,000
Bank of AmericaBank of Americawage and hour violation2010private lawsuit-state$16,650,000
Merrill LynchBank of Americawage and hour violation2010private lawsuit-federal$43,500,000
Bank of AmericaBank of Americawage and hour violation2010private lawsuit-federal$661,392
Bank of AmericaBank of Americawage and hour violation2007private lawsuit-state$2,500,000
Bank of AmericaBank of Americawage and hour violation2006private lawsuit-federal$9,000,000
Merrill LynchBank of Americawage and hour violation2006private lawsuit-federal$37,000,000
Countrywide FinancialBank of Americawage and hour violation2005private lawsuit-state$30,000,000
Bank of AmericaBank of Americawage and hour violation2003private lawsuit-state$4,100,000
Bank of AmericaBank of Americawage and hour violation2001private lawsuit-state$22,000,000
Banc of America Securities LLCBank of Americaprice-fixing or anti-competitive practices2010SEC$36,096,442
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2018SEC$8,900,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2018SEC$42,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2018SEC$15,700,000
Merrill Lynch, Pierce and Fenner & Smith IncorporatedBank of Americainvestor protection violation2018SEC$8,872,723
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2009SEC$150,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americabenefit plan administrator violation2011EBSA$170,854
Bank of America, N.A.Bank of Americainterest rate benchmark manipulation2018CFTC$30,000,000
Merrill LynchBank of Americaemployment discrimination2013private lawsuit-federal$38,225,000
Merrill LynchBank of Americaemployment discrimination2013private lawsuit-federal$160,000,000
Banc of America Investment ServicesBank of Americaemployment discrimination2009private lawsuit-federal$7,200,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLCBank of Americainvestor protection violation2005SEC$1,500,000
FleetBoston Financial CorpBank of Americabenefit plan administrator violation2008private lawsuit-federal$83,401,000
Bank of America CorpBank of Americabenefit plan administrator violation2011private lawsuit-federal$21,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americabenefit plan administrator violation2017private lawsuit-federal$25,000,000
Merrill LynchBank of Americabenefit plan administrator violation2012private lawsuit-federal$10,000,000
Merrill Lynch & Co., Inc.Bank of Americabenefit plan administrator violation2009private lawsuit-federal$75,000,000
Countrywide Financial CorporationBank of Americabenefit plan administrator violation2009private lawsuit-federal$55,000,000
LaSalle BankBank of Americabenefit plan administrator violation2011private lawsuit-federal$13,500,000
MBNA Corp.Bank of Americabenefit plan administrator violation2009private lawsuit-federal$4,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019SEC$8,014,000
Banc of America Capital Management LLC et al.Bank of Americainvestor protection violation2004NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $375,000,000
Banc of America Securities LLCBank of Americainvestor protection violation2008MULTI-AG$4,550,000,000
Banc of America Securities LLCBank of Americainvestor protection violation2010NJ-AG$1,268,393
Bank of AmericaBank of Americainvestor protection violation2012MULTI-AG$2,430,000,000
Bank of AmericaBank of Americainvestor protection violation2013MULTI-AG$500,000,000
Bank of AmericaBank of Americamortgage abuses2012MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,382,415,075
Bank of AmericaBank of Americaprice-fixing or anti-competitive practices2010MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $67,000,000
Bank of AmericaBank of AmericaFalse Claims Act and related2001AK-AG$35,600,000
Bank of AmericaBank of Americaprivacy violation2009CT-AG$350,000
Bank of AmericaBank of Americafraud2016DC-AG$13,000,000
Bank of AmericaBank of Americafraud2010DC-AG$13,502,852
Bank of AmericaBank of Americaconsumer protection violation2014HI-AG$2,825,000
Bank of AmericaBank of Americamortgage abuses2015MA-AG$675,000
Bank of AmericaBank of Americadiscriminatory practices (non-employment)2006MA-AG$50,000
Bank of America Corp.Bank of Americaprivacy violation2010MO-AG$195,000
Bank of America Corp.Bank of Americaconsumer protection violation2013WV-AG$1,950,000
Bank of America CorporationBank of Americamortgage abuses2014MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $943,000,000
Bank of America Merrill LynchBank of Americainvestor protection violation2018NY-AG$42,000,000
Countrywide Financial Corp.Bank of Americamortgage abuses2009CO-AG$6,000,000
Countrywide Financial Corp.Bank of Americamortgage abuses2009RI-AG$1,146,000
Countrywide Financial CorporationBank of Americamortgage abuses2010MULTI-AG$3,004,100,000
Countrywide Financial CorporationBank of Americamortgage abuses2009OR-AG$1,000,000
Countrywide Financial CorporationBank of Americamortgage abuses2009PA-AG$150,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.