Bank Of America | wage and hour violation | 2010 | MI-LEO | $14,000 |
Bank of America Corp. | privacy violation | 2010 | MO-AG | $195,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2009 | MO-SEC | $20,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2013 | MO-SEC | $2,121,579 |
Banc of America Securities LLC | investor protection violation | 2008 | MULTI-AG | $4,550,000,000 |
Bank of America | investor protection violation | 2012 | MULTI-AG | $2,430,000,000 |
Bank of America | investor protection violation | 2013 | MULTI-AG | $500,000,000 |
Bank of America | mortgage abuses | 2012 | MULTI-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 America | price-fixing or anti-competitive practices | 2010 | MULTI-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 America Corporation | mortgage abuses | 2014 | MULTI-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 |
Countrywide Financial Corporation | mortgage abuses | 2010 | MULTI-AG | $3,004,100,000 |
Countrywide Home Loans | mortgage abuses | 2008 | MULTI-AG | $8,680,000,000 |
Merrill Lynch & Co. | investor protection violation | 2008 | MULTI-AG | $3,458,333,333 |
Merrill Lynch & Co. Inc. | investor protection violation | 2002 | MULTI-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 |
Bank of America | investor protection violation | 2008 | MULTI-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 Lynch | investor protection violation | 2010 | MULTI-FIN | $26,563,094 |
Merrill Lynch | investor protection violation | 2008 | MULTI-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 |
Countrywide Home Loans Inc. | consumer protection violation | 2008 | NC-BKG | $1,611,500 |
Bank of America | toxic securities abuses | 2013 | NCUA | $165,000,000 |
Merrill Lynch | investor protection violation | 2002 | NH-BSR | $500,000 |
Merrill Lynch | privacy violation | 2014 | NH-BSR | $400,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2020 | NH-BSR | $26,250,000 |
Merrill Lynch, Pierce, Fenner and Smith Inc. | privacy violation | 2023 | NH-BSR | $700,000 |
Banc of America Securities LLC | investor protection violation | 2010 | NJ-AG | $1,268,393 |
Merrill Lynch | investor protection violation | 2010 | NJ-AG | $4,871,620 |
Merrill Lynch & Co. | investor protection violation | 2013 | NJ-AG | $45,000,000 |
Merrill Lynch Pierce Fenner & Smith Inc. | investor protection violation | 2005 | NJ-AG | $10,000,000 |
Merrill, Lynch, Pierce, Fenner and Smith, Inc. | investor protection violation | 2010 | NJ-AG | $728,260 |
Bank of America, National Association | labor relations violation | 2013 | NLRB | $18,634 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
Banc of America Capital Management LLC et al. | investor protection violation | 2004 | NY-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 |
Bank of America Merrill Lynch | investor protection violation | 2018 | NY-AG | $42,000,000 |
Countrywide Home Loans, Inc., | consumer protection violation | 2006 | NY-AG | $3,200,000 |
FleetBoston Financial Corp. | investor protection violation | 2004 | NY-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 Corporation | privacy violation | 2001 | NY-AG | $100,000 |
Merrill Lynch | investor protection violation | 2002 | NY-AG | $100,000,000 |
U.S. Trust Corporation | anti-money-laundering deficiencies | 2001 | NY-DFS | $5,000,000 |
Bank of America Corp. | anti-money-laundering deficiencies | 2006 | NY-MANDA | $7,500,000 |
Bank of America, National Association | banking violation | 2015 | OCC | $1,104,530 |
Bank of America, National Association | banking violation | 2015 | OCC | $30,000,000 |
Bank of America, National Association | banking violation | 2014 | OCC | $250,000,000 |
Bank of America, National Association | banking violation | 2014 | OCC | $25,000,000 |
Bank of America | banking violation | 2013 | OCC | $2,886,578,478 |
Lasalle Bank MidWest National Association | banking violation | 2007 | OCC | $125,000 |
Lasalle Bank National Association | banking violation | 2007 | OCC | $79,524 |
Lasalle Bank MidWest National Association | banking violation | 2005 | OCC | $6,250,000 |
Bank of America NA | banking violation | 2022 | OCC | $125,000,000 |
Bank of America N.A. | consumer protection violation | 2023 | OCC | $60,000,000 |
Bank of America N.A. | economic sanction violation | 2014 | OFAC | $16,562,700 |
Bank of America | economic sanction violation | 2004 | OFAC | $13,573 |
Merrill Lynch, Pierce, Fenner & Smith, Inc | economic sanction violation | 2004 | OFAC | $22,904 |
Bank of America | economic sanction violation | 2003 | OFAC | $158,038 |
Bank of America Corp | employment discrimination | 2013 | OFCCP | $2,181,593 |
Bank of America | employment discrimination | 2017 | OFCCP | $1,000,000 |
Bank of America | employment discrimination | 2019 | OFCCP | $4,200,000 |
Merrill Lynch | investor protection violation | 2009 | OH-AG | $475,000,000 |
Countrywide Financial Corporation | mortgage abuses | 2009 | OR-AG | $1,000,000 |
Bank of America Corp. | workplace whistleblower retaliation | 2011 | OSHA | $930,000 |
BANK OF AMERICA | workplace safety or health violation | 2003 | OSHA | $5,000 |
BANK OF AMERICA | workplace safety or health violation | 2011 | OSHA | $6,600 |
Countrywide Financial Corporation | mortgage abuses | 2009 | PA-AG | $150,000,000 |
Countrywide Financial Corp. | mortgage abuses | 2009 | RI-AG | $1,146,000 |
Fleet National Bank | environmental violation | 2000 | RI-ENV | $18,034 |
Merrill Lynch Life Insurance Company | insurance violation | 2000 | SC-INS | $5,000 |
Countrywide Financial Corporation | mortgage abuses | 2009 | SD-AG | $161,805 |
Merrill Lynch | investor protection violation | 2015 | SEC | $10,900,000 |
Bank of America Corporation | investor protection violation | 2014 | SEC | $7,650,000 |
Merrill Lynch | toxic securities abuses | 2013 | SEC | $131,800,000 |
Bank of America | investor protection violation | 2010 | SEC | $150,000,000 |
Merrill Lynch | investor protection violation | 2016 | SEC | $10,000,000 |
Merrill Lynch | investor protection violation | 2016 | SEC | $415,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2015 | SEC | $500,000 |
Merrill Lynch | investor protection violation | 2011 | SEC | $10,000,000 |
Bank of America Corporation | investor protection violation | 2009 | SEC | $33,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2009 | SEC | $7,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2009 | SEC | $1,000,000 |
Banc of America Investment Services, Inc. | investor protection violation | 2008 | SEC | $9,763,634 |
Banc of America Securities LLC | fraud | 2007 | SEC | $26,000,000 |
Banc of America Securities LLC | investor protection violation | 2006 | SEC | $750,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2006 | SEC | $1,500,000 |
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC | investor protection violation | 2005 | SEC | $375,000,000 |
FleetBoston Financial Corporation | investor protection violation | 2004 | SEC | $140,000,000 |
Banc of America Securities LLC | investor protection violation | 2004 | SEC | $10,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Incorporated | investor protection violation | 2003 | SEC | $200,000,000 |
Merrill Lynch & Co. Inc. | accounting fraud or deficiencies | 2003 | SEC | $80,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2000 | SEC | $5,000,000 |
Merrill Lynch | investor protection violation | 2016 | SEC | $12,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | anti-money-laundering deficiencies | 2017 | SEC | $13,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc | investor protection violation | 2018 | SEC | $1,404,000 |
Bank of America Corporation | investor protection violation | 2014 | SEC | $20,000,000 |
Banc of America Securities LLC | price-fixing or anti-competitive practices | 2010 | SEC | $36,096,442 |
Merrill Lynch, Pierce, Fenner & Smith | investor protection violation | 2018 | SEC | $8,900,000 |
Merrill Lynch, Pierce, Fenner & Smith | investor protection violation | 2018 | SEC | $42,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2018 | SEC | $15,700,000 |
Merrill Lynch, Pierce and Fenner & Smith Incorporated | investor protection violation | 2018 | SEC | $8,872,723 |
Banc of America Investment Services, Inc. | investor protection violation | 2009 | SEC | $150,000 |
Banc of America Investment Services, Inc., and Bacap Distributors, LLC | investor protection violation | 2005 | SEC | $1,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2019 | SEC | $8,014,000 |
Merrill Lynch, Pierce and Fenner & Smith, Incorporated | investor protection violation | 2020 | SEC | $325,376 |
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2022 | SEC | $125,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2023 | SEC | $9,660,000 |