Merrill Lynch Life Insurance Company | insurance violation | 2000 | SC-INS | $5,000 |
Countrywide Home Loans | environmental violation | 2000 | CA-SCAQMD | $5,000 |
Bank Of America | wage and hour violation | 2011 | MI-LEO | $5,000 |
BANK OF AMERICA | workplace safety or health violation | 2003 | OSHA | $5,000 |
COUNTRYWIDE FINANCIAL CORPORATION, | wage and hour violation | 2008 | CA-LCO | $5,164 |
Bank of America, NA | wage and hour violation | 2010 | WHD | $5,827 |
Bank of America Corporation | wage and hour violation | 2004 | WHD | $5,972 |
Bank of America | wage and hour violation | 2008 | WHD | $6,209 |
Bank of America | Family and Medical Leave Act | 2008 | WHD | $6,500 |
BANK OF AMERICA | workplace safety or health violation | 2011 | OSHA | $6,600 |
Merrill Lynch Pierce Fenner & Smith Inc. | investor protection violation | 2005 | WI-FIN | $7,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | wage and hour violation | 2006 | WHD | $7,060 |
Bank of America | discriminatory practices (non-employment) | 2013 | HUD | $7,500 |
BANK OF AMERICA CORP | wage and hour violation | 2022 | IL-DOL | $9,660 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2004 | FL-OFR | $10,000 |
Banc of America Investment Services, Inc. | investor protection violation | 2008 | MD-SEC | $10,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2016 | VA-SEC | $11,500 |
Bank Of America NA | environmental violation | 2005 | TX-ENV | $12,480 |
Bank of America | wage and hour violation | 2005 | WHD | $12,824 |
Bank of America | economic sanction violation | 2004 | OFAC | $13,573 |
Bank Of America | wage and hour violation | 2010 | MI-LEO | $14,000 |
Bank of America | Family and Medical Leave Act | 2017 | WHD | $14,528 |
Merrill Lynch & Pierce, Fenner & Smith Inc. | investor protection violation | 2010 | AR-SEC | $15,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2013 | DC-DISB | $15,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2001 | FINRA | $15,000 |
Bank of America, N.A. | discriminatory practices (non-employment) | 2022 | HUD | $15,000 |
Bank Of America | wage and hour violation | 2010 | MI-LEO | $15,406 |
Fleet National Bank | environmental violation | 2000 | RI-ENV | $18,034 |
Bank of America, National Association | labor relations violation | 2013 | NLRB | $18,634 |
Bank of America, N.A. | wage and hour violation | 2010 | WHD | $18,654 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2009 | MO-SEC | $20,000 |
Bank of America | discriminatory practices (non-employment) | 2013 | HUD | $22,449 |
Merrill Lynch, Pierce, Fenner & Smith, Inc | economic sanction violation | 2004 | OFAC | $22,904 |
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, National Association | environmental violation | 2013 | VA-ENV | $27,625 |
Bank of America | employment discrimination | 2016 | EEOC | $30,000 |
Merrill Lynch, Pierce, Fenner & Smith, Incorporated | investor protection violation | 2006 | VA-SEC | $33,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2007 | IL-SEC | $40,000 |
Banc of America Securities LLC | investor protection violation | 2001 | FINRA | $40,000 |
Bank of America | export control violation | 2017 | BIS | $44,625 |
Bank of America | discriminatory practices (non-employment) | 2013 | HUD | $45,000 |
Bank of America | environmental violation | 2007 | CA-SCAQMD | $46,000 |
Bank of America | discriminatory practices (non-employment) | 2006 | MA-AG | $50,000 |
Countrywide Home Loans, Inc. | consumer protection violation | 2010 | IL-BKG | $54,000 |
Countrywide Financial Corporation | wage and hour violation | 2004 | WHD | $54,453 |
Merrill Lynch, Pierce, Fenner & Smith, Incorporated | investor protection violation | 2006 | VA-SEC | $75,000 |
Lasalle Bank National Association | banking violation | 2007 | OCC | $79,524 |
Banc of America Investment Services, Inc. | investor protection violation | 2005 | FINRA | $90,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2000 | FINRA | $97,000 |
FleetBoston Financial Corporation | privacy violation | 2001 | NY-AG | $100,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2004 | FINRA | $109,527 |
Bank of America | employment discrimination | 2014 | EEOC | $110,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2018 | VT-FIN | $120,000 |
Lasalle Bank MidWest National Association | banking violation | 2007 | OCC | $125,000 |
Merrill Lynch | investor protection violation | 2020 | VT-FIN | $125,000 |
Banc of America Investment Services, Inc. | investor protection violation | 2009 | SEC | $150,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2009 | FINRA | $150,000 |
Bank of America | economic sanction violation | 2003 | OFAC | $158,038 |
Bank of America | discriminatory practices (non-employment) | 2012 | HUD | $161,180 |
Countrywide Financial Corporation | mortgage abuses | 2009 | SD-AG | $161,805 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | benefit plan administrator violation | 2011 | EBSA | $170,854 |
Bank of America Corp. | privacy violation | 2010 | MO-AG | $195,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2008 | FINRA | $200,000 |
Banc of America Investment Services Inc. | investor protection violation | 2004 | FINRA | $200,000 |
MBNA | environmental violation | 2002 | DE-ENV | $225,000 |
Banc of America Investment Services, Inc. | investor protection violation | 2006 | IL-SEC | $250,000 |
Merrill Lynch | investor protection violation | 2008 | FINRA | $250,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2004 | FINRA | $250,000 |
Bank of America Corporation | wage and hour violation | 2006 | WHD | $265,774 |
MERRILL LYNCH PIERCE FENNER & | investor protection violation | 2004 | VA-SEC | $268,723 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2019 | FINRA | $280,000 |
Merrill Lynch | toxic securities abuses | 2009 | MA-AG | $300,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2019 | CFTC | $300,000 |
Bank of America, N.A. | Americans with Disabilities Act | 2020 | DOJ_RIGHTS | $300,000 |
Merrill Lynch, Pierce and Fenner & Smith, Incorporated | investor protection violation | 2020 | SEC | $325,376 |
Countrywide Financial Corporation | mortgage abuses | 2009 | WV-AG | $340,901 |
Merrill Lynch | investor protection violation | 2011 | CFTC | $350,000 |
Bank of America | privacy violation | 2009 | CT-AG | $350,000 |
Merrill Lynch | privacy violation | 2014 | NH-BSR | $400,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2020 | CT-SEC | $400,000 |
Merrill Lynch | investor protection violation | 2009 | DE-AG | $459,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2015 | SEC | $500,000 |
Merrill Lynch Investment Managers, LLC and Merrill Lynch Alternative Investments, LLC | data submission deficiencies | 2007 | CFTC | $500,000 |
Merrill Lynch | investor protection violation | 2002 | DE-AG | $500,000 |
Merrill Lynch | investor protection violation | 2002 | NH-BSR | $500,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2012 | FINRA | $500,000 |
Merrill Lynch & Co., Inc. | wage and hour violation | 2008 | WHD | $516,924 |
Bank of America, N.A. | consumer protection violation | 2018 | private lawsuit-federal | $550,000 |
Countrywide Home Loans Inc. | consumer protection violation | 2010 | WA-FIN | $650,000 |
Bank of America | wage and hour violation | 2010 | private lawsuit-federal | $661,392 |
Bank of America | mortgage abuses | 2015 | MA-AG | $675,000 |
Merrill Lynch, Pierce, Fenner and Smith Inc. | privacy violation | 2023 | NH-BSR | $700,000 |
Merrill, Lynch, Pierce, Fenner and Smith, Inc. | investor protection violation | 2010 | NJ-AG | $728,260 |
Banc of America Securities LLC | investor protection violation | 2006 | SEC | $750,000 |
Bank of America Corp. | workplace whistleblower retaliation | 2011 | OSHA | $930,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2009 | SEC | $1,000,000 |
Bank of America | employment discrimination | 2017 | OFCCP | $1,000,000 |
Countrywide Financial Corporation | mortgage abuses | 2009 | OR-AG | $1,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2014 | FINRA | $1,000,000 |
Merrill Lynch, Pierce, Fenner & Smith | investor protection violation | 2012 | FINRA | $1,000,000 |