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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
Countrywide Financial CorporationBank of Americamortgage abuses2009PA-AG$150,000,000
Countrywide Financial CorporationBank of Americamortgage abuses2009SD-AG$161,805
Countrywide Financial CorporationBank of Americamortgage abuses2009WI-AG$41,100,000
Countrywide Financial CorporationBank of Americamortgage abuses2009WV-AG$340,901
Countrywide Home LoansBank of Americamortgage abuses2008MULTI-AG$8,680,000,000
Countrywide Home LoansBank of Americamortgage abuses2009IN-AG$2,800,000
Countrywide Home Loans, Inc.,Bank of Americaconsumer protection violation2006NY-AG$3,200,000
Countrywide Securities Corp.Bank of Americamortgage abuses2013MA-AG$17,300,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americatoxic securities abuses2016VA-AG$19,500,000
FleetBoston Financial Corp.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. $300,000,000
FleetBoston Financial CorporationBank of Americaprivacy violation2001NY-AG$100,000
Merrill LynchBank of Americainvestor protection violation2009DE-AG$459,000
Merrill LynchBank of Americainvestor protection violation2002DE-AG$500,000
Merrill LynchBank of Americatoxic securities abuses2009MA-AG$300,000
Merrill LynchBank of Americatoxic securities abuses2008MA-AG$13,700,000
Merrill LynchBank of Americainvestor protection violation2010NJ-AG$4,871,620
Merrill LynchBank of Americainvestor protection violation2002NY-AG$100,000,000
Merrill LynchBank of Americainvestor protection violation2009OH-AG$475,000,000
Merrill Lynch & Co.Bank of Americainvestor protection violation2008MULTI-AG$3,458,333,333
Merrill Lynch & Co.Bank of Americainvestor protection violation2013NJ-AG$45,000,000
Merrill Lynch & Co. Inc.Bank of Americainvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000
Merrill Lynch Commodities Inc.Bank of Americaprice-fixing or anti-competitive practices2019DOJ_CRIMINAL$25,000,000
Merrill Lynch Commodities, Inc.Bank of Americainvestor protection violation2019CFTC(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005NJ-AG$10,000,000
Merrill, Lynch, Pierce, Fenner and Smith, Inc.Bank of Americainvestor protection violation2010NJ-AG$728,260
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019CFTC$300,000
Bank of AmericaBank of Americaemployment discrimination2019OFCCP$4,200,000
Bank of America, N.A.Bank of Americaconsumer protection violation2017CA-MULTI$1,940,000
Bank of America Corp.Bank of Americaanti-money-laundering deficiencies2006NY-MANDA$7,500,000
Countrywide Financial Corp.Bank of Americamortgage abuses2008HI-DCCA$84,548,000
Merrill Lynch, Pierce and Fenner & Smith, IncorporatedBank of Americainvestor protection violation2020SEC$325,376
Merrill Lynch & Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2010AR-SEC$15,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2006CT-SEC$3,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013DC-DISB$15,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FL-OFR$10,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2006IL-SEC$250,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2007IL-SEC$40,000
Countrywide Home Loans, Inc.Bank of Americaconsumer protection violation2010IL-BKG$54,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2012IL-SEC$25,930,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2015MA-SEC$2,500,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2008MD-SEC$10,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2009MO-SEC$20,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013MO-SEC$2,121,579
Countrywide Home Loans Inc.Bank of Americaconsumer protection violation2008NC-BKG$1,611,500
Merrill LynchBank of Americainvestor protection violation2002NH-BSR$500,000
Merrill LynchBank of Americaprivacy violation2014NH-BSR$400,000
U.S. Trust CorporationBank of Americaanti-money-laundering deficiencies2001NY-DFS$5,000,000
Merrill Lynch Life Insurance CompanyBank of Americainsurance violation2000SC-INS$5,000
MERRILL LYNCH PIERCE FENNER &Bank of Americainvestor protection violation2004VA-SEC$268,723
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$75,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americainvestor protection violation2006VA-SEC$33,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2016VA-SEC$11,500
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2018VT-FIN$120,000
Merrill LynchBank of Americainvestor protection violation2020VT-FIN$125,000
Countrywide Home Loans Inc.Bank of Americaconsumer protection violation2010WA-FIN$650,000
Merrill Lynch Pierce Fenner & Smith Inc.Bank of Americainvestor protection violation2005WI-FIN$7,000
Bank of AmericaBank of Americainvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Merrill LynchBank of Americainvestor protection violation2010MULTI-FIN$26,563,094
Merrill LynchBank of Americainvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020CT-SEC$400,000
Bank of America, N.A.Bank of AmericaAmericans with Disabilities Act2020DOJ_RIGHTS$300,000
Bank of America, NABank of Americadiscriminatory practices (non-employment)2005private lawsuit-federal$3,670,000
Bank of America CorporationBank of Americaprivacy violation2014private lawsuit-federal$32,083,905
Countrywide Financial Corp.Bank of Americaprivacy violation2010private lawsuit-federal$6,500,000
MBNABank of Americaenvironmental violation2002DE-ENV$225,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020NH-BSR$26,250,000
Fleet National BankBank of Americaenvironmental violation2000RI-ENV$18,034
Bank Of America NABank of Americaenvironmental violation2005TX-ENV$12,480
Bank of America, National AssociationBank of Americaenvironmental violation2013VA-ENV$27,625
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2020FINRA$7,200,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$280,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2019FINRA$4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americasecurities issuance or trading violation2018FINRA$5,990,530
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2017FINRA$1,400,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2016FINRA$7,030,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americainvestor protection violation2016FINRA$2,800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2016FINRA$5,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2014FINRA$2,440,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2014FINRA$4,000,000
Merrill LynchBank of Americainvestor protection violation2014FINRA$6,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2014FINRA$32,400,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2014FINRA$1,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2013FINRA$2,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2013FINRA$1,373,000
Merrill LynchBank of Americainvestor protection violation2012FINRA$1,074,200
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2012FINRA$500,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2012FINRA$2,800,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2012FINRA$1,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2011FINRA$1,000,000
Merrill LynchBank of Americainvestor protection violation2011FINRA$3,000,000
Merrill LynchBank of Americainvestor protection violation2010FINRA$2,500,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2009FINRA$150,000
Merrill LynchBank of Americainvestor protection violation2008FINRA$250,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2008FINRA$200,000
Banc of America Investment Services Inc.Bank of Americaanti-money-laundering deficiencies2007FINRA$3,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americainvestor protection violation2006FINRA$5,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americainvestor protection violation2005FINRA$14,000,000
Banc of America Investment Services, Inc.Bank of Americainvestor protection violation2005FINRA$90,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americainvestor protection violation2004FINRA$1,600,000
Banc of America Investment Services Inc.Bank of Americainvestor protection violation2004FINRA$200,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americainvestor protection violation2004FINRA$250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.