Bank Of America, Nt & Sa

Financial crime

United States. Named in 21 sanctions listings.

Sanctions and listings21

Official designation
Securities and Exchange CommissionUS SEC Actions Due to Harmed InvestorsUnited States
sec.gov sec.gov
Effective
29 May 2015
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
Inaccurate / Incomplete / False Books and Records
Compliance Risk Management
Consumer Law
SCRA/Military Lending Act
Reference AA-EC-2015-2apps.occ.gov
Effective
15 Jan 1992
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
apps.occ.gov
Effective
29 Jun 2015
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
Flood Insurance
Consumer Law
Reference AA-EC-2015-19apps.occ.gov
Effective
29 May 2015
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D
Third Party Risk Management
Consumer Law
SCRA/Military Lending Act
False Statements / Obstruction
Compliance Risk Management
Internal Audit
Audit
Reference AA-EC-2015-1apps.occ.gov
Effective
13 Apr 2011
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D
Reference AA-EC-11-12apps.occ.gov
Effective
9 Feb 2005
Formal Agreement
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
FA
Reference AA-EC-04-35apps.occ.gov
Effective
7 Dec 2010
Formal Agreement
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
FA
apps.occ.gov
Effective
29 Jun 2015
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D
Flood Insurance
Consumer Law
Reference AA-EC-2015-18apps.occ.gov
Effective
28 Feb 2013
C&D or PC&D Requiring Restitution; Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D and REST
Lending Issues
Foreclosures
Consumer Law
Reference AA-EC-11-12apps.occ.gov
Effective
14 Jan 1992
Securities Enforcement Action
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
SEC
Reference AA-SCP-92-04apps.occ.gov
Effective
5 Jul 2023
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
Overdrafts
Lending Issues
Unfair or Deceptive (UDAP)
Consumer Law
Reference AA-ENF-2023-19apps.occ.gov
Effective
11 Nov 2014
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
Foreign Exchange (FX)
Trading & Securities
Reference AA-EC-14-99apps.occ.gov
Effective
7 Apr 2014
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D); C&D or PC&D Requiring Restitution
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D and REST
Third Party Risk Management
Unfair or Deceptive (UDAP)
Compliance Risk Management
Consumer Law
Reference AA-EC-2014-5apps.occ.gov
Effective
27 Feb 2012
Formal Agreement
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
FA
Lending Issues
Foreclosures
apps.occ.gov
Effective
11 Nov 2014
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D
Foreign Exchange (FX)
Compliance Risk Management
Trading & Securities
apps.occ.gov
Effective
23 Dec 2024
Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D
OFAC Compliance Issue
SAR/CTR Monitoring/Filing Issue
BSA Officer
BSA/AML
BSA Violation Cited
Board / Management Oversight
BSA Internal Controls
BSA SAR Violation / 12 CFR 21.11 or 163.180
Customer/Enhanced Due Diligence (CDD/EDD)
BSA Training
BSA Program Violation / 12 CFR 21.21
BSA Independent Testing/Audit
BSA Risk Assessment
Reference AA-ENF-2024-56apps.occ.gov
Effective
14 Jul 2022
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
Consumer Law
Audit
Compliance Risk Management
Internal Audit
Unfair or Deceptive (UDAP)
Reference AA-ENF-2022-22apps.occ.gov
Listed
13 Nov 2017
Official designation
Bureau of Industry and SecurityUS BIS Alleged Antiboycott ViolationsUnited States
bis.gov
Effective
14 Jul 2022
C&D or PC&D Requiring Restitution; Cease-and-Desist Order (C&D) or Personal Cease-and-Desist Order (PC&D)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
C&D and REST
Consumer Law
Audit
Compliance Risk Management
Internal Audit
Unfair or Deceptive (UDAP)
Reference AA-ENF-2022-21apps.occ.gov
Effective
7 Apr 2014
Civil Money Penalty (CMP)
Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States
CMP
Unfair or Deceptive (UDAP)
Consumer Law
Reference AA-EC-2014-6apps.occ.gov

Identifiers1

Identifier	Number
Registration number	13044

Other names8

Also known as8

Bank Of America, National Trust And Savings AssociationBank Of AmericaBank of America, National AssociationBank Of America Nt & SaBank Of America, N.T. & S.A.Bank Of America National Trust And Savings AssociatioBank Of America, N.A.Bank Of America National Trust & Savings Association

Addresses3

Charlotte, NC
San Francisco, CA
San Francisco , CA

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