| Merrill Lynch | wage and hour violation | 2010 | private lawsuit-federal | $43,500,000 |
| Bank of America | wage and hour violation | 2010 | private lawsuit-federal | $661,392 |
| Banc of America Securities LLC | price-fixing or anti-competitive practices | 2010 | SEC | $36,096,442 |
| Banc of America Securities LLC | investor protection violation | 2010 | NJ-AG | $1,268,393 |
| 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 | fraud | 2010 | DC-AG | $13,502,852 |
| Bank of America Corp. | privacy violation | 2010 | MO-AG | $195,000 |
| Countrywide Financial Corporation | mortgage abuses | 2010 | MULTI-AG | $3,004,100,000 |
| Merrill Lynch | investor protection violation | 2010 | NJ-AG | $4,871,620 |
| Merrill, Lynch, Pierce, Fenner and Smith, Inc. | investor protection violation | 2010 | NJ-AG | $728,260 |
| Merrill Lynch & Pierce, Fenner & Smith Inc. | investor protection violation | 2010 | AR-SEC | $15,000 |
| Countrywide Home Loans, Inc. | consumer protection violation | 2010 | IL-BKG | $54,000 |
| Countrywide Home Loans Inc. | consumer protection violation | 2010 | WA-FIN | $650,000 |
| Merrill Lynch | investor protection violation | 2010 | MULTI-FIN | $26,563,094 |
| Countrywide Financial Corp. | privacy violation | 2010 | private lawsuit-federal | $6,500,000 |
| Merrill Lynch | investor protection violation | 2010 | FINRA | $2,500,000 |
| Bank Of America | wage and hour violation | 2010 | MI-LEO | $15,406 |
| Bank Of America | wage and hour violation | 2010 | MI-LEO | $14,000 |
| 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 | 2009 | SEC | $150,000 |
| Banc of America Investment Services | employment discrimination | 2009 | private lawsuit-federal | $7,200,000 |
| Merrill Lynch & Co., Inc. | benefit plan administrator violation | 2009 | private lawsuit-federal | $75,000,000 |
| Countrywide Financial Corporation | benefit plan administrator violation | 2009 | private lawsuit-federal | $55,000,000 |
| MBNA Corp. | benefit plan administrator violation | 2009 | private lawsuit-federal | $4,500,000 |
| Bank of America | privacy violation | 2009 | CT-AG | $350,000 |
| Countrywide Financial Corp. | mortgage abuses | 2009 | CO-AG | $6,000,000 |
| Countrywide Financial Corp. | mortgage abuses | 2009 | RI-AG | $1,146,000 |
| Countrywide Financial Corporation | mortgage abuses | 2009 | OR-AG | $1,000,000 |
| Countrywide Financial Corporation | mortgage abuses | 2009 | PA-AG | $150,000,000 |
| Countrywide Financial Corporation | mortgage abuses | 2009 | SD-AG | $161,805 |
| Countrywide Financial Corporation | mortgage abuses | 2009 | WI-AG | $41,100,000 |
| Countrywide Financial Corporation | mortgage abuses | 2009 | WV-AG | $340,901 |
| Countrywide Home Loans | mortgage abuses | 2009 | IN-AG | $2,800,000 |
| Merrill Lynch | investor protection violation | 2009 | DE-AG | $459,000 |
| Merrill Lynch | toxic securities abuses | 2009 | MA-AG | $300,000 |
| Merrill Lynch | investor protection violation | 2009 | OH-AG | $475,000,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2009 | MO-SEC | $20,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2009 | FINRA | $150,000 |
| Banc of America Investment Services, Inc. | investor protection violation | 2008 | SEC | $9,763,634 |
| Merrill Lynch | employment discrimination | 2008 | EEOC | $1,550,000 |
| Merrill Lynch & Co., Inc. | wage and hour violation | 2008 | WHD | $516,924 |
| Bank of America | Family and Medical Leave Act | 2008 | WHD | $6,500 |
| Bank of America | wage and hour violation | 2008 | WHD | $6,209 |
| FleetBoston Financial Corp | benefit plan administrator violation | 2008 | private lawsuit-federal | $83,401,000 |
| Banc of America Securities LLC | investor protection violation | 2008 | MULTI-AG | $4,550,000,000 |
| Countrywide Home Loans | mortgage abuses | 2008 | MULTI-AG | $8,680,000,000 |
| Merrill Lynch | toxic securities abuses | 2008 | MA-AG | $13,700,000 |
| Merrill Lynch & Co. | investor protection violation | 2008 | MULTI-AG | $3,458,333,333 |
| Countrywide Financial Corp. | mortgage abuses | 2008 | HI-DCCA | $84,548,000 |
| Banc of America Investment Services, Inc. | investor protection violation | 2008 | MD-SEC | $10,000 |
| Countrywide Home Loans Inc. | consumer protection violation | 2008 | NC-BKG | $1,611,500 |
| 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 | 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 |
| Merrill Lynch | investor protection violation | 2008 | FINRA | $250,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2008 | FINRA | $200,000 |
| COUNTRYWIDE FINANCIAL CORPORATION, | wage and hour violation | 2008 | CA-LCO | $5,164 |
| Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC | data submission deficiencies | 2007 | CFTC | $500,000 |
| Lasalle Bank MidWest National Association | banking violation | 2007 | OCC | $125,000 |
| Lasalle Bank National Association | banking violation | 2007 | OCC | $79,524 |
| Banc of America Securities LLC | fraud | 2007 | SEC | $26,000,000 |
| Bank of America | wage and hour violation | 2007 | private lawsuit-state | $2,500,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2007 | IL-SEC | $40,000 |
| Banc of America Investment Services Inc. | anti-money-laundering deficiencies | 2007 | FINRA | $3,000,000 |
| Bank of America | environmental violation | 2007 | CA-SCAQMD | $46,000 |
| 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 |
| Bank of America Corporation | wage and hour violation | 2006 | WHD | $265,774 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | wage and hour violation | 2006 | WHD | $7,060 |
| Bank of America | wage and hour violation | 2006 | private lawsuit-federal | $9,000,000 |
| Merrill Lynch | wage and hour violation | 2006 | private lawsuit-federal | $37,000,000 |
| Bank of America | discriminatory practices (non-employment) | 2006 | MA-AG | $50,000 |
| Countrywide Home Loans, Inc., | consumer protection violation | 2006 | NY-AG | $3,200,000 |
| Bank of America Corp. | anti-money-laundering deficiencies | 2006 | NY-MANDA | $7,500,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2006 | CT-SEC | $3,500,000 |
| Banc of America Investment Services, Inc. | investor protection violation | 2006 | IL-SEC | $250,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Incorporated | investor protection violation | 2006 | VA-SEC | $75,000 |
| Merrill Lynch, Pierce, Fenner & Smith, Incorporated | investor protection violation | 2006 | VA-SEC | $33,000 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2006 | FINRA | $5,000,000 |
| Lasalle Bank MidWest National Association | banking violation | 2005 | OCC | $6,250,000 |
| Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC | investor protection violation | 2005 | SEC | $375,000,000 |
| Bank of America | wage and hour violation | 2005 | WHD | $12,824 |
| Countrywide Financial | wage and hour violation | 2005 | private lawsuit-state | $30,000,000 |
| Banc of America Investment Services, Inc., and Bacap Distributors, LLC | investor protection violation | 2005 | SEC | $1,500,000 |
| Merrill Lynch Pierce Fenner & Smith Inc. | investor protection violation | 2005 | NJ-AG | $10,000,000 |
| Merrill Lynch Pierce Fenner & Smith Inc. | investor protection violation | 2005 | WI-FIN | $7,000 |
| Bank of America, NA | discriminatory practices (non-employment) | 2005 | private lawsuit-federal | $3,670,000 |
| Bank Of America NA | environmental violation | 2005 | TX-ENV | $12,480 |
| Merrill Lynch, Pierce, Fenner & Smith | investor protection violation | 2005 | FINRA | $14,000,000 |
| Banc of America Investment Services, Inc. | investor protection violation | 2005 | FINRA | $90,000 |
| Bank of America | economic sanction violation | 2004 | OFAC | $13,573 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc | economic sanction violation | 2004 | OFAC | $22,904 |
| FleetBoston Financial Corporation | investor protection violation | 2004 | SEC | $140,000,000 |
| Banc of America Securities LLC | investor protection violation | 2004 | SEC | $10,000,000 |
| Bank of America Corporation | wage and hour violation | 2004 | WHD | $5,972 |
| Countrywide Financial Corporation | wage and hour violation | 2004 | WHD | $54,453 |
| 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 |
| 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 |
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2004 | FL-OFR | $10,000 |
| MERRILL LYNCH PIERCE FENNER & | investor protection violation | 2004 | VA-SEC | $268,723 |
