Defendant Name: Bank of America Corporation

Defendant Type: Public Company
SIC Code: 6211
CUSIP: 06050510

Initial Case Details

Legal Case Name In the Matter of Bank of America Corporation
First Document Date 29-Sep-2014
Initial Filing Format Administrative Action
File Number 3-16177
Allegation Type Issuer Reporting and Disclosure
AAER 3588

Violations Alleged

Exchange Act
• Sec 13(b)(2)(A)
• Sec 13(b)(2)(B)

Resolutions

First Resolution Date 29-Sep-2014
Headline Total Penalty and Disgorgement $7,650,000

Related Documents:

34-73243 29-Sep-2014 Administrative Proceeding
Order Instituting Cease-And-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-And-Desist Order
On September 29, 2014, the SEC instituted administrative proceedings against Bank of America Corporation. The SEC alleged that Bank of America Corporation failed "to make and keep books and records in reasonable detail to, among other things, accurately and fairly reflect transactions in which they engage."