Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2019 | CFTC | $300,000 |
Bank of America | investor protection violation | 2022 | CFTC | $100,000,000 |
Bank of America, N.A. | investor protection violation | 2023 | CFTC | $8,000,000 |
Countrywide Financial Corp. | mortgage abuses | 2009 | CO-AG | $6,000,000 |
Bank of America | privacy violation | 2009 | CT-AG | $350,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2006 | CT-SEC | $3,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2020 | CT-SEC | $400,000 |
Bank of America | fraud | 2016 | DC-AG | $13,000,000 |
Bank of America | fraud | 2010 | DC-AG | $13,502,852 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2013 | DC-DISB | $15,000 |
Merrill Lynch | investor protection violation | 2009 | DE-AG | $459,000 |
Merrill Lynch | investor protection violation | 2002 | DE-AG | $500,000 |
MBNA | environmental violation | 2002 | DE-ENV | $225,000 |
Bank of America Corporation | mortgage abuses | 2014 | DOJ | $16,650,000,000 |
Bank of America Corporation | mortgage abuses | 2012 | DOJ | $10,956,600,000 |
Bank of America | price-fixing or anti-competitive practices | 2010 | DOJ_ANTITRUST | $137,300,000 |
BAC Home Loans Servicing LP fka Countrywide Home Loans Servicing LP | mortgage abuses | 2011 | DOJ_CIVIL | $20,000,000 |
Merrill Lynch Commodities Inc. | price-fixing or anti-competitive practices | 2019 | DOJ_CRIMINAL | $25,000,000 |
Bank of America N.A. | banking violation | 2012 | DOJ_RIGHTS | $370,000,000 |
Countrywide Financial Corporation | mortgage abuses | 2011 | DOJ_RIGHTS | $335,000,000 |
Bank of America, N.A. | Americans with Disabilities Act | 2020 | DOJ_RIGHTS | $300,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | benefit plan administrator violation | 2011 | EBSA | $170,854 |
Bank of America | employment discrimination | 2014 | EEOC | $110,000 |
Bank of America | employment discrimination | 2016 | EEOC | $30,000 |
Merrill Lynch | employment discrimination | 2008 | EEOC | $1,550,000 |
BANK OF AMERICA CORPORATION | banking violation | 2015 | FED | $205,000,000 |
Bank of America Corporation | banking violation | 2012 | FED | $175,500,000 |
U.S. Trust Corporation | banking violation | 2001 | FED | $5,000,000 |
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 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2020 | FINRA | $7,200,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2019 | FINRA | $280,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2019 | FINRA | $4,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | securities issuance or trading violation | 2018 | FINRA | $5,990,530 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2017 | FINRA | $1,400,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2016 | FINRA | $7,030,000 |
Merrill Lynch, Pierce, Fenner and Smith Inc. | investor protection violation | 2016 | FINRA | $2,800,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2016 | FINRA | $5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2014 | FINRA | $2,440,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2014 | FINRA | $4,000,000 |
Merrill Lynch | investor protection violation | 2014 | FINRA | $6,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2014 | FINRA | $32,400,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2014 | FINRA | $1,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2013 | FINRA | $2,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2013 | FINRA | $1,373,000 |
Merrill Lynch | investor protection violation | 2012 | FINRA | $1,074,200 |
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 |
Banc of America Investment Services Inc. | anti-money-laundering deficiencies | 2007 | FINRA | $3,000,000 |
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 |
BofA Securities, Inc. | investor protection violation | 2022 | FINRA | $5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | anti-money-laundering deficiencies | 2023 | FINRA | $6,000,000 |
BofA Securities, Inc. | investor protection violation | 2023 | FINRA | $24,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2004 | FL-OFR | $10,000 |
Countrywide Home Loans, Inc. and BAC Home Loans Servicing LP | consumer protection violation | 2010 | FTC | $108,000,000 |
Bank of America | consumer protection violation | 2014 | HI-AG | $2,825,000 |
Countrywide Financial Corp. | mortgage abuses | 2008 | HI-DCCA | $84,548,000 |
Bank of America | discriminatory practices (non-employment) | 2013 | HUD | $45,000 |
Bank of America | discriminatory practices (non-employment) | 2013 | HUD | $22,449 |
Bank of America | discriminatory practices (non-employment) | 2013 | HUD | $7,500 |
Bank of America | discriminatory practices (non-employment) | 2012 | HUD | $161,180 |
Bank of America, N.A. | discriminatory practices (non-employment) | 2022 | HUD | $15,000 |
Countrywide Home Loans, Inc. | consumer protection violation | 2010 | IL-BKG | $54,000 |
BANK OF AMERICA CORP | wage and hour violation | 2022 | IL-DOL | $9,660 |
Banc of America Investment Services, Inc. | investor protection violation | 2006 | IL-SEC | $250,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2007 | IL-SEC | $40,000 |
Merrill Lynch Pierce Fenner & Smith Inc. | investor protection violation | 2012 | IL-SEC | $25,930,000 |
Countrywide Home Loans | mortgage abuses | 2009 | IN-AG | $2,800,000 |
Bank of America | mortgage abuses | 2015 | MA-AG | $675,000 |
Bank of America | discriminatory practices (non-employment) | 2006 | MA-AG | $50,000 |
Countrywide Securities Corp. | mortgage abuses | 2013 | MA-AG | $17,300,000 |
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 Inc. | investor protection violation | 2015 | MA-SEC | $2,500,000 |
Banc of America Investment Services, Inc. | investor protection violation | 2008 | MD-SEC | $10,000 |
Bank Of America | wage and hour violation | 2016 | MI-LEO | $23,500 |
Bank Of America | wage and hour violation | 2016 | MI-LEO | $23,500 |
Bank Of America | wage and hour violation | 2011 | MI-LEO | $5,000 |
Bank Of America | wage and hour violation | 2010 | MI-LEO | $15,406 |
Bank Of America | wage and hour violation | 2010 | MI-LEO | $14,000 |