Merrill Lynch |
Bank of America |
investor protection violation |
2011 |
SEC |
$10,000,000 |
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC |
Bank of America |
data submission deficiencies |
2007 |
CFTC |
$500,000 |
U.S. Trust Corporation |
Bank of America |
banking violation |
2001 |
FED |
$5,000,000 |
Bank of America |
Bank of America |
economic sanction violation |
2004 |
OFAC |
$13,573 |
Merrill Lynch, Pierce, Fenner & Smith, Inc |
Bank of America |
economic sanction violation |
2004 |
OFAC |
$22,904 |
Bank of America |
Bank of America |
economic sanction violation |
2003 |
OFAC |
$158,038 |
Lasalle Bank MidWest National Association |
Bank of America |
banking violation |
2007 |
OCC |
$125,000 |
Lasalle Bank National Association |
Bank of America |
banking violation |
2007 |
OCC |
$79,524 |
Lasalle Bank MidWest National Association |
Bank of America |
banking violation |
2005 |
OCC |
$6,250,000 |
Bank of America Corporation |
Bank of America |
investor protection violation |
2009 |
SEC |
$33,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. |
Bank of America |
investor protection violation |
2009 |
SEC |
$7,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. |
Bank of America |
investor protection violation |
2009 |
SEC |
$1,000,000 |
Banc of America Investment Services, Inc. |
Bank of America |
investor protection violation |
2008 |
SEC |
$9,763,634 |
Banc of America Securities LLC |
Bank of America |
fraud |
2007 |
SEC |
$26,000,000 |
Banc of America Securities LLC |
Bank of America |
investor protection violation |
2006 |
SEC |
$750,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Bank of America |
investor protection violation |
2006 |
SEC |
$1,500,000 |
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC |
Bank of America |
investor protection violation |
2005 |
SEC |
$375,000,000 |
FleetBoston Financial Corporation |
Bank of America |
investor protection violation |
2004 |
SEC |
$140,000,000 |
Banc of America Securities LLC |
Bank of America |
investor protection violation |
2004 |
SEC |
$10,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Incorporated |
Bank of America |
investor protection violation |
2003 |
SEC |
$200,000,000 |
Merrill Lynch & Co. Inc. |
Bank of America |
accounting fraud or deficiencies |
2003 |
SEC |
$80,000,000 |
Robertson Stephens Inc. |
Bank of America |
investor protection violation |
2003 |
SEC |
$33,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Bank of America |
investor protection violation |
2000 |
SEC |
$5,000,000 |
Merrill Lynch |
Bank of America |
investor protection violation |
2016 |
SEC |
$12,500,000 |
Bank of America |
Bank of America |
discriminatory practices (non-employment) |
2013 |
HUD |
$45,000 |
Bank of America |
Bank of America |
discriminatory practices (non-employment) |
2013 |
HUD |
$22,449 |
Bank of America |
Bank of America |
discriminatory practices (non-employment) |
2013 |
HUD |
$7,500 |
Bank of America |
Bank of America |
discriminatory practices (non-employment) |
2012 |
HUD |
$161,180 |
Bank of America Corp |
Bank of America |
employment discrimination |
2013 |
OFCCP |
$2,181,593 |
Bank of America |
Bank of America |
employment discrimination |
2014 |
EEOC |
$110,000 |
Bank of America |
Bank of America |
employment discrimination |
2016 |
EEOC |
$30,000 |
Merrill Lynch |
Bank of America |
employment discrimination |
2008 |
EEOC |
$1,550,000 |
Bank of America, NA |
Bank of America |
wage and hour violation |
2010 |
WHD |
$5,827 |
Bank of America, N.A. |
Bank of America |
wage and hour violation |
2010 |
WHD |
$18,654 |
Merrill Lynch & Co., Inc. |
Bank of America |
wage and hour violation |
2008 |
WHD |
$516,924 |
Bank of America |
Bank of America |
Family and Medical Leave Act |
2008 |
WHD |
$6,500 |
Bank of America |
Bank of America |
wage and hour violation |
2008 |
WHD |
$6,209 |
Bank of America Corporation |
Bank of America |
wage and hour violation |
2006 |
WHD |
$265,774 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. |
Bank of America |
wage and hour violation |
2006 |
WHD |
$7,060 |
Bank of America |
Bank of America |
wage and hour violation |
2005 |
WHD |
$12,824 |
Bank of America Corporation |
Bank of America |
wage and hour violation |
2004 |
WHD |
$5,972 |
Countrywide Financial Corporation |
Bank of America |
wage and hour violation |
2004 |
WHD |
$54,453 |
Bank of America, National Association |
Bank of America |
labor relations violation |
2013 |
NLRB |
$18,634 |
Bank of America |
Bank of America |
employment discrimination |
2017 |
OFCCP |
$1,000,000 |
Merrill Lynch |
Bank of America |
investor protection violation |
2017 |
CFTC |
$2,500,000 |
Bank of America |
Bank of America |
investor protection violation |
2017 |
USAO |
$2,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Bank of America |
anti-money-laundering deficiencies |
2017 |
SEC |
$13,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc |
Bank of America |
investor protection violation |
2018 |
SEC |
$1,404,000 |
Bank of America |
Bank of America |
export control violation |
2017 |
BIS |
$44,625 |
Bank of America Corporation |
Bank of America |
investor protection violation |
2014 |
SEC |
$20,000,000 |
Bank of America |
Bank of America |
Family and Medical Leave Act |
2017 |
WHD |
$14,528 |
Bank of America |
Bank of America |
wage and hour violation |
2017 |
private lawsuit-federal |
$6,000,000 |
Bank of America |
Bank of America |
wage and hour violation |
2017 |
private lawsuit-federal |
$7,000,000 |
Bank of America |
Bank of America |
wage and hour violation |
2017 |
private lawsuit-federal |
$1,900,000 |
Bank of America |
Bank of America |
wage and hour violation |
2017 |
private lawsuit-federal |
$6,600,000 |
Merrill Lynch |
Bank of America |
wage and hour violation |
2016 |
private lawsuit-state |
$2,645,000 |
Bank of America |
Bank of America |
wage and hour violation |
2016 |
private lawsuit-state |
$4,000,000 |
Bank of America |
Bank of America |
wage and hour violation |
2016 |
private lawsuit-federal |
$3,250,000 |
Merrill Lynch |
Bank of America |
wage and hour violation |
2016 |
private lawsuit-federal |
$14,000,000 |
Bank of America |
Bank of America |
wage and hour violation |
2016 |
private lawsuit-federal |
$36,000,000 |
Bank of America |
Bank of America |
wage and hour violation |
2016 |
private lawsuit-federal |
$2,250,000 |
Bank of America |
Bank of America |
wage and hour violation |
2015 |
private lawsuit-federal |
$9,000,000 |
Countrywide Home Loans Inc. |
Bank of America |
wage and hour violation |
2015 |
private lawsuit-federal |
$9,649,000 |
Merrill Lynch |
Bank of America |
wage and hour violation |
2014 |
private lawsuit-federal |
$6,900,000 |
Bank of America |
Bank of America |
wage and hour violation |
2013 |
private lawsuit-federal |
$73,000,000 |
Merrill Lynch |
Bank of America |
wage and hour violation |
2013 |
private lawsuit-federal |
$12,000,000 |
Merrill Lynch |
Bank of America |
wage and hour violation |
2013 |
private lawsuit-federal |
$21,000,000 |
Bank of America |
Bank of America |
wage and hour violation |
2010 |
private lawsuit-state |
$16,650,000 |
Merrill Lynch |
Bank of America |
wage and hour violation |
2010 |
private lawsuit-federal |
$43,500,000 |
Bank of America |
Bank of America |
wage and hour violation |
2010 |
private lawsuit-federal |
$661,392 |
Bank of America |
Bank of America |
wage and hour violation |
2007 |
private lawsuit-state |
$2,500,000 |
Bank of America |
Bank of America |
wage and hour violation |
2006 |
private lawsuit-federal |
$9,000,000 |
Merrill Lynch |
Bank of America |
wage and hour violation |
2006 |
private lawsuit-federal |
$37,000,000 |
Countrywide Financial |
Bank of America |
wage and hour violation |
2005 |
private lawsuit-state |
$30,000,000 |
Bank of America |
Bank of America |
wage and hour violation |
2003 |
private lawsuit-state |
$4,100,000 |
Bank of America |
Bank of America |
wage and hour violation |
2001 |
private lawsuit-state |
$22,000,000 |
Banc of America Securities LLC |
Bank of America |
price-fixing or anti-competitive practices |
2010 |
SEC |
$36,096,442 |
Merrill Lynch, Pierce, Fenner & Smith |
Bank of America |
investor protection violation |
2018 |
SEC |
$8,900,000 |
Merrill Lynch, Pierce, Fenner & Smith |
Bank of America |
investor protection violation |
2018 |
SEC |
$42,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. |
Bank of America |
investor protection violation |
2018 |
SEC |
$15,700,000 |
Merrill Lynch, Pierce and Fenner & Smith Incorporated |
Bank of America |
investor protection violation |
2018 |
SEC |
$8,872,723 |
Banc of America Investment Services, Inc. |
Bank of America |
investor protection violation |
2009 |
SEC |
$150,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. |
Bank of America |
benefit plan administrator violation |
2011 |
EBSA |
$170,854 |
Bank of America, N.A. |
Bank of America |
interest rate benchmark manipulation |
2018 |
CFTC |
$30,000,000 |
Merrill Lynch |
Bank of America |
employment discrimination |
2013 |
private lawsuit-federal |
$38,225,000 |
Merrill Lynch |
Bank of America |
employment discrimination |
2013 |
private lawsuit-federal |
$160,000,000 |
Banc of America Investment Services |
Bank of America |
employment discrimination |
2009 |
private lawsuit-federal |
$7,200,000 |
Banc of America Investment Services, Inc., and Bacap Distributors, LLC |
Bank of America |
investor protection violation |
2005 |
SEC |
$1,500,000 |
FleetBoston Financial Corp |
Bank of America |
benefit plan administrator violation |
2008 |
private lawsuit-federal |
$83,401,000 |
Bank of America Corp |
Bank of America |
benefit plan administrator violation |
2011 |
private lawsuit-federal |
$21,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Bank of America |
benefit plan administrator violation |
2017 |
private lawsuit-federal |
$25,000,000 |
Merrill Lynch |
Bank of America |
benefit plan administrator violation |
2012 |
private lawsuit-federal |
$10,000,000 |
Merrill Lynch & Co., Inc. |
Bank of America |
benefit plan administrator violation |
2009 |
private lawsuit-federal |
$75,000,000 |
Countrywide Financial Corporation |
Bank of America |
benefit plan administrator violation |
2009 |
private lawsuit-federal |
$55,000,000 |
LaSalle Bank |
Bank of America |
benefit plan administrator violation |
2011 |
private lawsuit-federal |
$13,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Bank of America |
investor protection violation |
2019 |
SEC |
$8,014,000 |
Banc of America Capital Management LLC et al. |
Bank of America |
investor protection violation |
2004 |
NY-AG |
(*) $375,000,000 |
Banc of America Securities LLC |
Bank of America |
investor protection violation |
2008 |
MULTI-AG |
$4,550,000,000 |
Banc of America Securities LLC |
Bank of America |
investor protection violation |
2010 |
NJ-AG |
$1,268,393 |
Bank of America |
Bank of America |
investor protection violation |
2012 |
MULTI-AG |
$2,430,000,000 |
Bank of America |
Bank of America |
investor protection violation |
2013 |
MULTI-AG |
$500,000,000 |