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 | 2012 | FINRA | $1,074,200 |
Bank of America, National Association | banking violation | 2015 | OCC | $1,104,530 |
Countrywide Financial Corp. | mortgage abuses | 2009 | RI-AG | $1,146,000 |
Merrill Lynch | investor protection violation | 2014 | CFTC | $1,200,000 |
Countrywide Financial Corporation | WARN Act violation | 2013 | private lawsuit-federal | $1,200,000 |
Bank of America N.A. | consumer protection violation | 2022 | private lawsuit-federal | $1,200,000 |
Banc of America Securities LLC | investor protection violation | 2010 | NJ-AG | $1,268,393 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2013 | FINRA | $1,373,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2017 | FINRA | $1,400,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc | investor protection violation | 2018 | SEC | $1,404,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2006 | SEC | $1,500,000 |
Banc of America Investment Services, Inc., and Bacap Distributors, LLC | investor protection violation | 2005 | SEC | $1,500,000 |
Bank of America N.A. | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $1,500,000 |
Merrill Lynch | employment discrimination | 2008 | EEOC | $1,550,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2004 | FINRA | $1,600,000 |
Countrywide Home Loans Inc. | consumer protection violation | 2008 | NC-BKG | $1,611,500 |
Bank of America | wage and hour violation | 2024 | private lawsuit-federal | $1,890,000 |
Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $1,900,000 |
Bank of America, N.A. | consumer protection violation | 2017 | CA-MULTI | $1,940,000 |
Bank of America Corp. | consumer protection violation | 2013 | WV-AG | $1,950,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2013 | FINRA | $2,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2013 | MO-SEC | $2,121,579 |
Bank of America Corp | employment discrimination | 2013 | OFCCP | $2,181,593 |
Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $2,250,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2014 | FINRA | $2,440,000 |
Merrill Lynch | investor protection violation | 2017 | CFTC | $2,500,000 |
Bank of America | investor protection violation | 2017 | USAO | $2,500,000 |
Bank of America | wage and hour violation | 2007 | private lawsuit-state | $2,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2015 | MA-SEC | $2,500,000 |
Merrill Lynch | investor protection violation | 2010 | FINRA | $2,500,000 |
Merrill Lynch | wage and hour violation | 2016 | private lawsuit-state | $2,645,000 |
Countrywide Home Loans | mortgage abuses | 2009 | IN-AG | $2,800,000 |
Merrill Lynch, Pierce, Fenner and Smith Inc. | investor protection violation | 2016 | FINRA | $2,800,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2012 | FINRA | $2,800,000 |
Bank of America | consumer protection violation | 2014 | HI-AG | $2,825,000 |
Merrill Lynch | investor protection violation | 2011 | FINRA | $3,000,000 |
Banc of America Investment Services Inc. | anti-money-laundering deficiencies | 2007 | FINRA | $3,000,000 |
Bank of America N.A. | consumer protection violation | 2016 | private lawsuit-federal | $3,000,000 |
Countrywide Home Loans, Inc., | consumer protection violation | 2006 | NY-AG | $3,200,000 |
Bank of America | wage and hour violation | 2016 | private lawsuit-federal | $3,250,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2006 | CT-SEC | $3,500,000 |
Bank of America, NA | discriminatory practices (non-employment) | 2005 | private lawsuit-federal | $3,670,000 |
Bank of America | wage and hour violation | 2016 | private lawsuit-state | $4,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2019 | FINRA | $4,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2014 | FINRA | $4,000,000 |
Bank of America | wage and hour violation | 2003 | private lawsuit-state | $4,100,000 |
Bank of America | employment discrimination | 2019 | OFCCP | $4,200,000 |
MBNA Corp. | benefit plan administrator violation | 2009 | private lawsuit-federal | $4,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
Merrill Lynch | investor protection violation | 2010 | NJ-AG | $4,871,620 |
Bank of America N.A. | consumer protection violation | 2020 | private lawsuit-federal | $4,950,000 |
U.S. Trust Corporation | banking violation | 2001 | FED | $5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2000 | SEC | $5,000,000 |
U.S. Trust Corporation | anti-money-laundering deficiencies | 2001 | NY-DFS | $5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | investor protection violation | 2016 | FINRA | $5,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2006 | FINRA | $5,000,000 |
BofA Securities, Inc. | investor protection violation | 2022 | FINRA | $5,000,000 |
Bank of America N.A. | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $5,000,000 |
Bank of America N.A. | consumer protection violation | 2021 | private lawsuit-federal | $5,950,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | securities issuance or trading violation | 2018 | FINRA | $5,990,530 |
Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $6,000,000 |
Countrywide Financial Corp. | mortgage abuses | 2009 | CO-AG | $6,000,000 |
Merrill Lynch | investor protection violation | 2014 | FINRA | $6,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | anti-money-laundering deficiencies | 2023 | FINRA | $6,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | anti-money-laundering deficiencies | 2023 | SEC | $6,000,000 |
Lasalle Bank MidWest National Association | banking violation | 2005 | OCC | $6,250,000 |
Bank of America N.A. | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $6,250,000 |
Countrywide Financial Corp. | privacy violation | 2010 | private lawsuit-federal | $6,500,000 |
Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $6,600,000 |
Merrill Lynch | wage and hour violation | 2014 | private lawsuit-federal | $6,900,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2009 | SEC | $7,000,000 |
Bank of America | wage and hour violation | 2017 | private lawsuit-federal | $7,000,000 |
Bank of America, N.A. | price-fixing or anti-competitive practices | 2022 | private lawsuit-federal | $7,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2016 | FINRA | $7,030,000 |
Banc of America Investment Services | employment discrimination | 2009 | private lawsuit-federal | $7,200,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | investor protection violation | 2020 | FINRA | $7,200,000 |
Bank of America Corp. | anti-money-laundering deficiencies | 2006 | NY-MANDA | $7,500,000 |
Bank of America Corporation | investor protection violation | 2014 | SEC | $7,650,000 |
Bank of America, N.A. | consumer protection violation | 2014 | private lawsuit-federal | $8,000,000 |
Bank of America, N.A. | investor protection violation | 2023 | CFTC | $8,000,000 |
Bank of America N.A. | consumer protection violation | 2023 | private lawsuit-federal | $8,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2019 | SEC | $8,014,000 |
Bank of America N.A. | consumer protection violation | 2014 | private lawsuit-federal | $8,250,000 |
MBNA Corp. | consumer protection violation | 2001 | private lawsuit-federal | $8,700,000 |
Merrill Lynch, Pierce and Fenner & Smith Incorporated | investor protection violation | 2018 | SEC | $8,872,723 |
Merrill Lynch, Pierce, Fenner & Smith | investor protection violation | 2018 | SEC | $8,900,000 |
Bank of America | wage and hour violation | 2015 | private lawsuit-federal | $9,000,000 |
Bank of America | wage and hour violation | 2006 | private lawsuit-federal | $9,000,000 |
Countrywide Home Loans Inc. | wage and hour violation | 2015 | private lawsuit-federal | $9,649,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | investor protection violation | 2023 | SEC | $9,660,000 |
Banc of America Investment Services, Inc. | investor protection violation | 2008 | SEC | $9,763,634 |
Bank of America, N.A. | consumer protection violation | 2011 | private lawsuit-federal | $9,950,000 |
Merrill Lynch | investor protection violation | 2016 | SEC | $10,000,000 |
Merrill Lynch | investor protection violation | 2011 | SEC | $10,000,000 |
Banc of America Securities LLC | investor protection violation | 2004 | SEC | $10,000,000 |
Merrill Lynch | benefit plan administrator violation | 2012 | private lawsuit-federal | $10,000,000 |
Merrill Lynch Pierce Fenner & Smith Inc. | investor protection violation | 2005 | NJ-AG | $10,000,000 |
Bank of America | consumer protection violation | 2022 | CFPB | $10,000,000 |
Bank of America, N.A. (USA) | consumer protection violation | 2015 | private lawsuit-federal | $10,000,000 |