Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$333,568,388,571
Number of Records: 
6,826
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 Parent CompaniesTotal Penalty $Number of Records
Bank of America$82,896,776,051261
JPMorgan Chase$35,851,437,155191
Citigroup$25,535,002,360154
Wells Fargo$21,678,596,719218
Deutsche Bank$18,341,457,30276
UBS$16,853,736,33498
Goldman Sachs$16,381,931,83964
NatWest Group PLC$13,477,129,00031
BNP Paribas$12,147,863,95019
Credit Suisse$10,448,892,62645


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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parentsort icon Primary Offense Type Year Agency Penalty Amount
Merrill Lynch & Co. Bank of America investor protection violation 2013 NJ-AG $45,000,000
Merrill Lynch & Co. Inc. Bank of America investor protection violation 2002 MULTI-AG (*) $100,000,000
Merrill Lynch Commodities Inc. Bank of America price-fixing or anti-competitive practices 2019 DOJ_CRIMINAL $25,000,000
Merrill Lynch Commodities, Inc. Bank of America investor protection violation 2019 CFTC (*) $24,900,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America investor protection violation 2005 NJ-AG $10,000,000
Merrill, Lynch, Pierce, Fenner and Smith, Inc. Bank of America investor protection violation 2010 NJ-AG $728,260
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2019 CFTC $300,000
Bank of America Bank of America employment discrimination 2019 OFCCP $4,200,000
Bank of America, N.A. Bank of America consumer protection violation 2017 CA-MULTI $1,940,000
Bank of America Corp. Bank of America anti-money-laundering deficiencies 2006 NY-MANDA $7,500,000
Countrywide Financial Corp. Bank of America mortgage abuses 2008 HI-DCCA $84,548,000
Merrill Lynch, Pierce and Fenner & Smith, Incorporated Bank of America investor protection violation 2020 SEC $325,376
Merrill Lynch & Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2010 AR-SEC $15,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2006 CT-SEC $3,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2013 DC-DISB $15,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2004 FL-OFR $10,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2006 IL-SEC $250,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2007 IL-SEC $40,000
Countrywide Home Loans, Inc. Bank of America consumer protection violation 2010 IL-BKG $54,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America investor protection violation 2012 IL-SEC $25,930,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2015 MA-SEC $2,500,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2008 MD-SEC $10,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2009 MO-SEC $20,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2013 MO-SEC $2,121,579
Countrywide Home Loans Inc. Bank of America consumer protection violation 2008 NC-BKG $1,611,500
Merrill Lynch Bank of America investor protection violation 2002 NH-BSR $500,000
Merrill Lynch Bank of America privacy violation 2014 NH-BSR $400,000
U.S. Trust Corporation Bank of America anti-money-laundering deficiencies 2001 NY-DFS $5,000,000
Merrill Lynch Life Insurance Company Bank of America insurance violation 2000 SC-INS $5,000
MERRILL LYNCH PIERCE FENNER & Bank of America investor protection violation 2004 VA-SEC $268,723
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America investor protection violation 2006 VA-SEC $75,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America investor protection violation 2006 VA-SEC $33,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2016 VA-SEC $11,500
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2018 VT-FIN $120,000
Merrill Lynch Bank of America investor protection violation 2020 VT-FIN $125,000
Countrywide Home Loans Inc. Bank of America consumer protection violation 2010 WA-FIN $650,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America investor protection violation 2005 WI-FIN $7,000
Bank of America Bank of America investor protection violation 2008 MULTI-FIN (*) $50,000,000
Merrill Lynch Bank of America investor protection violation 2010 MULTI-FIN $26,563,094
Merrill Lynch Bank of America investor protection violation 2008 MULTI-FIN (*) $125,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2020 CT-SEC $400,000
Bank of America, N.A. Bank of America Americans with Disabilities Act 2020 DOJ_RIGHTS $300,000
Bank of America, NA Bank of America discriminatory practices (non-employment) 2005 private lawsuit-federal $3,670,000
Bank of America Corporation Bank of America privacy violation 2014 private lawsuit-federal $32,083,905
Countrywide Financial Corp. Bank of America privacy violation 2010 private lawsuit-federal $6,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2020 NH-BSR $26,250,000
Fleet National Bank Bank of America environmental violation 2000 RI-ENV $18,034
Bank Of America NA Bank of America environmental violation 2005 TX-ENV $12,480
Bank of America, National Association Bank of America environmental violation 2013 VA-ENV $27,625
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2020 FINRA $7,200,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2019 FINRA $280,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2019 FINRA $4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America securities issuance or trading violation 2018 FINRA $5,990,530
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2017 FINRA $1,400,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2016 FINRA $7,030,000
Merrill Lynch, Pierce, Fenner and Smith Inc. Bank of America investor protection violation 2016 FINRA $2,800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2016 FINRA $5,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2014 FINRA $2,440,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2014 FINRA $4,000,000
Merrill Lynch Bank of America investor protection violation 2014 FINRA $6,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2014 FINRA $32,400,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2014 FINRA $1,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2013 FINRA $2,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2013 FINRA $1,373,000
Merrill Lynch Bank of America investor protection violation 2012 FINRA $1,074,200
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2012 FINRA $500,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2012 FINRA $2,800,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America investor protection violation 2012 FINRA $1,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2011 FINRA $1,000,000
Merrill Lynch Bank of America investor protection violation 2011 FINRA $3,000,000
Merrill Lynch Bank of America investor protection violation 2010 FINRA $2,500,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2009 FINRA $150,000
Merrill Lynch Bank of America investor protection violation 2008 FINRA $250,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2008 FINRA $200,000
Banc of America Investment Services Inc. Bank of America anti-money-laundering deficiencies 2007 FINRA $3,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2006 FINRA $5,000,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America investor protection violation 2005 FINRA $14,000,000
Banc of America Investment Services, Inc. Bank of America investor protection violation 2005 FINRA $90,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2004 FINRA $1,600,000
Banc of America Investment Services Inc. Bank of America investor protection violation 2004 FINRA $200,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America investor protection violation 2004 FINRA $250,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America investor protection violation 2004 FINRA $109,527
Robertson Stephens, Inc. Bank of America investor protection violation 2004 FINRA $275,000
Robertson Stephens, Inc. Bank of America investor protection violation 2003 FINRA (*) $14,000,000
BancBoston Robertson Stephens Bank of America investor protection violation 2001 FINRA $10,000
Banc of America Securities LLC Bank of America investor protection violation 2001 FINRA $40,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2001 FINRA $15,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2000 FINRA $97,000
Bank of America Corp. Bank of America workplace whistleblower retaliation 2011 OSHA $930,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America investor protection violation 2021 FINRA $11,650,000
BANK OF AMERICA Bank of America workplace safety or health violation 2003 OSHA $5,000
BANK OF AMERICA Bank of America workplace safety or health violation 2011 OSHA $6,600
Bank Leumi Group Bank Leumi tax violations 2014 DOJ_TAX $270,000,000
Bank Leumi Bank Leumi investor protection violation 2016 SEC $1,600,000
Bank Leumi Bank Leumi tax violations 2014 NY-DFS $130,000,000
Bank Hapoalim B.M, Bank Hapoalim tax violations 2020 FED $37,350,000
Bank Hapoalim B.M. Bank Hapoalim anti-money-laundering deficiencies 2020 DOJ_CRIMINAL $30,063,317
Bank Hapoalim B.M. and Bank Hapoalim (Switzerland) Ltd. Bank Hapoalim tax violations 2020 DOJ_TAX $616,910,000
Bank Hapoalim B.M. Bank Hapoalim tax violations 2020 NY-DFS $220,000,000
BancorpSouth Bank BancorpSouth mortgage abuses 2016 CFPB $10,600,000
BANCORPSOUTH BANK BancorpSouth banking violation 2011 FDIC $46,500
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)