Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2012 | FINRA | $500,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2012 | FINRA | $2,800,000 |
Merrill Lynch, Pierce, Fenner & Smith | investor protection violation | 2012 | FINRA | $1,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2011 | FINRA | $1,000,000 |
Merrill Lynch | investor protection violation | 2011 | FINRA | $3,000,000 |
Merrill Lynch | investor protection violation | 2010 | FINRA | $2,500,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2009 | FINRA | $150,000 |
Merrill Lynch | investor protection violation | 2008 | FINRA | $250,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2008 | FINRA | $200,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2006 | FINRA | $5,000,000 |
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 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2004 | FINRA | $1,600,000 |
Banc of America Investment Services Inc. | investor protection violation | 2004 | FINRA | $200,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2004 | FINRA | $250,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2004 | FINRA | $109,527 |
Banc of America Securities LLC | investor protection violation | 2001 | FINRA | $40,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2001 | FINRA | $15,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2000 | FINRA | $97,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2021 | FINRA | $11,650,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2022 | FINRA | $15,200,000 |
Bank of America | investor protection violation | 2022 | CFTC | $100,000,000 |
BofA Securities, Inc. | investor protection violation | 2022 | FINRA | $5,000,000 |
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 |
Bank of America, N.A. | investor protection violation | 2023 | CFTC | $8,000,000 |
BofA Securities, Inc. | investor protection violation | 2023 | FINRA | $24,000,000 |
Bank of America, National Association | labor relations violation | 2013 | NLRB | $18,634 |
Bank of America Corporation | mortgage abuses | 2014 | DOJ | $16,650,000,000 |
Bank of America Corporation | mortgage abuses | 2012 | DOJ | $10,956,600,000 |
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LP | mortgage abuses | 2011 | DOJ_CIVIL | $20,000,000 |
Countrywide Financial Corporation | mortgage abuses | 2011 | DOJ_RIGHTS | $335,000,000 |
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 | mortgage abuses | 2015 | MA-AG | $675,000 |
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 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 | 2010 | MULTI-AG | $3,004,100,000 |
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 | 2008 | MULTI-AG | $8,680,000,000 |
Countrywide Home Loans | mortgage abuses | 2009 | IN-AG | $2,800,000 |
Countrywide Securities Corp. | mortgage abuses | 2013 | MA-AG | $17,300,000 |
Countrywide Financial Corp. | mortgage abuses | 2008 | HI-DCCA | $84,548,000 |
Bank of America | price-fixing or anti-competitive practices | 2010 | DOJ_ANTITRUST | $137,300,000 |
Banc of America Securities LLC | price-fixing or anti-competitive practices | 2010 | SEC | $36,096,442 |
Bank of America, N.A. | price-fixing or anti-competitive practices | 2018 | CFTC | $30,000,000 |
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 |
Merrill Lynch Commodities Inc. | price-fixing or anti-competitive practices | 2019 | DOJ_CRIMINAL | $25,000,000 |
Bank of America | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $26,420,000 |
Bank of America N.A. | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $5,000,000 |
Bank of America N.A. | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $6,250,000 |
Bank of America N.A. | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $1,500,000 |
Bank of America N.A. | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $187,500,000 |
Bank of America N.A. | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $50,000,000 |
Bank of America N.A. | price-fixing or anti-competitive practices | 2021 | private lawsuit-federal | $17,000,000 |
Bank of America N.A. | price-fixing or anti-competitive practices | 2014 | private lawsuit-federal | $20,000,000 |
Bank of AmericaCorp. | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
Bank of America, N.A. | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
Merrill Lynch Pierce Fenner & Smith Inc. | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,833,333 |
Bank of America | privacy violation | 2009 | CT-AG | $350,000 |
Bank of America Corp. | privacy violation | 2010 | MO-AG | $195,000 |
FleetBoston Financial Corporation | privacy violation | 2001 | NY-AG | $100,000 |
Merrill Lynch | privacy violation | 2014 | NH-BSR | $400,000 |
Bank of America Corporation | privacy violation | 2014 | private lawsuit-federal | $32,083,905 |
Countrywide Financial Corp. | privacy violation | 2010 | private lawsuit-federal | $6,500,000 |
Merrill Lynch, Pierce, Fenner and Smith Inc. | privacy violation | 2023 | NH-BSR | $700,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | securities issuance or trading violation | 2018 | FINRA | $5,990,530 |
Merrill Lynch | toxic securities abuses | 2013 | SEC | $131,800,000 |
Bank of America Corporation | toxic securities abuses | 2014 | FHFA | $9,300,000,000 |
Bank of America | toxic securities abuses | 2013 | FHFA | $404,000,000 |
Bank of America | toxic securities abuses | 2011 | FHFA | $1,300,000,000 |
Bank of America | toxic securities abuses | 2011 | FHFA | $1,520,000,000 |
Bank of America | toxic securities abuses | 2013 | FHFA | $10,350,000,000 |
Bank of America | toxic securities abuses | 2013 | NCUA | $165,000,000 |
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc. | toxic securities abuses | 2016 | VA-AG | $19,500,000 |
Merrill Lynch | toxic securities abuses | 2009 | MA-AG | $300,000 |
Merrill Lynch | toxic securities abuses | 2008 | MA-AG | $13,700,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
Bank of America, NA | wage and hour violation | 2010 | WHD | $5,827 |
Bank of America, N.A. | wage and hour violation | 2010 | WHD | $18,654 |
Merrill Lynch & Co., Inc. | wage and hour violation | 2008 | WHD | $516,924 |
Bank of America | wage and hour violation | 2008 | WHD | $6,209 |
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 | 2005 | WHD | $12,824 |
Bank of America Corporation | wage and hour violation | 2004 | WHD | $5,972 |
Countrywide Financial Corporation | wage and hour violation | 2004 | WHD | $54,453 |
Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $6,000,000 |
Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $7,000,000 |
Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $1,900,000 |
Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $6,600,000 |
Merrill Lynch | wage and hour violation | 2016 | private lawsuit-state | $2,645,000 |
Bank of America | wage and hour violation | 2016 | private lawsuit-state | $4,000,000 |
Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $3,250,000 |
Merrill Lynch | wage and hour violation | 2016 | private lawsuit-federal | $14,000,000 |
Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $36,000,000 |
Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $2,250,000 |