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
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
FSC Corporation Bank of America wage and hour violation 2003 WHD $108,716
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
Bank of America Bank of America mortgage abuses 2012 MULTI-AG (*) $2,382,415,075
Bank of America Bank of America price-fixing or anti-competitive practices 2010 MULTI-AG (*) $67,000,000
Bank of America Bank of America False Claims Act and related 2001 AK-AG $35,600,000
Bank of America Bank of America privacy violation 2009 CT-AG $350,000
Bank of America Bank of America fraud 2016 DC-AG $13,000,000
Bank of America Bank of America fraud 2010 DC-AG $13,502,852
Bank of America Bank of America consumer protection violation 2014 HI-AG $2,825,000
Bank of America Bank of America mortgage abuses 2015 MA-AG $675,000
Bank of America Bank of America discriminatory practices (non-employment) 2006 MA-AG $50,000
Bank of America Corp. Bank of America privacy violation 2010 MO-AG $195,000
Bank of America Corp. Bank of America consumer protection violation 2013 WV-AG $1,950,000
Bank of America Corporation Bank of America mortgage abuses 2014 MULTI-AG (*) $943,000,000
Bank of America Merrill Lynch Bank of America investor protection violation 2018 NY-AG $42,000,000
Countrywide Financial Corp. Bank of America mortgage abuses 2009 CO-AG $6,000,000
Countrywide Financial Corp. Bank of America mortgage abuses 2009 RI-AG $1,146,000
Countrywide Financial Corporation Bank of America mortgage abuses 2010 MULTI-AG $3,004,100,000
Countrywide Financial Corporation Bank of America mortgage abuses 2009 OR-AG $1,000,000
Countrywide Financial Corporation Bank of America mortgage abuses 2009 PA-AG $150,000,000
Countrywide Financial Corporation Bank of America mortgage abuses 2009 SD-AG $161,805
Countrywide Financial Corporation Bank of America mortgage abuses 2009 WI-AG $41,100,000
Countrywide Financial Corporation Bank of America mortgage abuses 2009 WV-AG $340,901
Countrywide Home Loans Bank of America mortgage abuses 2008 MULTI-AG $8,680,000,000
Countrywide Home Loans Bank of America mortgage abuses 2009 IN-AG $2,800,000
Countrywide Home Loans, Inc., Bank of America consumer protection violation 2006 NY-AG $3,200,000
Countrywide Securities Corp. Bank of America mortgage abuses 2013 MA-AG $17,300,000
Countrywide Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America toxic securities abuses 2016 VA-AG $19,500,000
FleetBoston Financial Corp. Bank of America investor protection violation 2004 NY-AG (*) $300,000,000
FleetBoston Financial Corporation Bank of America privacy violation 2001 NY-AG $100,000
Merrill Lynch Bank of America investor protection violation 2009 DE-AG $459,000
Merrill Lynch Bank of America investor protection violation 2002 DE-AG $500,000
Merrill Lynch Bank of America toxic securities abuses 2009 MA-AG $300,000
Merrill Lynch Bank of America toxic securities abuses 2008 MA-AG $13,700,000
Merrill Lynch Bank of America investor protection violation 2010 NJ-AG $4,871,620
Merrill Lynch Bank of America investor protection violation 2002 NY-AG $100,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)