Search for: "JP MORGAN CHASE & CO."
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2 Oct 2018, 5:40 am
According to FINRA Disciplinary actions for September 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Denise Canez John Drill Northwestern Mutual Investment Services LLC Robert Baird & Co Incorporated Glenn Grosek Citizens… [read post]
1 Jun 2009, 9:10 pm
Broker-dealers that have reached preliminary settlements with federal and state regulators over their misrepresentation of ARS to clients include Citigroup Inc., Deutsche Bank AG, Credit Suisse Group, JP Morgan Chase & Co, Goldman Sachs Group Inc., Merrill Lynch & Co. [read post]
12 Apr 2017, 5:00 am
The Fund primarily invested in JP Morgan Stock and, as a result, fell under ERISA. [read post]
4 Jun 2015, 2:00 am
JP Morgan Chase Bank, NA, Court of Appeals, 5th Circuit Jan 12, 2015 [read post]
8 May 2009, 7:18 am
SEC Going After JP Morgan: JP Morgan Chase & Co. said Thursday that the SEC had approved the filing of an enforcement action against it for securities law violations over bond and swap sales for Jefferson County, Ala. [read post]
22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife Investors Distribution… [read post]
3 Feb 2009, 5:57 am
Defendants include, but are not limited to, Merrill Lynch & Co., Inc., Morgan Stanley, JP Morgan Chase & Co., Bear Stearns & Co., Inc., AIG Financial Products Corp., UBS AG, and Piper Jaffray & Co. [read post]
22 Apr 2013, 2:41 pm
The Working Group commenced its first legal action October 2, 2012, when New York Attorney General Eric Schneiderman, in his role as co-chair of the group, filed a Martin Act lawsuit against JP Morgan Chase Bank for allegedly making false representations and omissions to promote the sale of RMBS to investors. [read post]
9 Aug 2010, 10:49 am
Davidson was a Managing Director at Hambrecht & Quist, a technology-focused investment bank and venture capital firm (now part of JP Morgan Chase & Co.). [read post]
11 Oct 2021, 7:24 am
The FINRA arbitrators ordered JP Morgan to pay Ms. [read post]
8 Apr 2009, 2:32 pm
In a January article published on Bloomberg, "JP Morgan's Staley Calls Money Funds ‘Systemic Risk," James Staley, head of JP Morgan Chase & Co.'s investment unit, stated that he believes it was the money funds that brought down Lehman and Bear Stearns, as the funds were forced to pull their money from these firms when they saw signs of trouble. [read post]
22 Oct 2008, 7:03 pm
N.A. as Successor to JP Morgan Chase Bank N.A. as Trustee, et al. [read post]
1 Nov 2006, 5:28 am
Salen Dry Cargo A.B., 825 F.2d 709, 713-14, 715 (2d Cir.1987); accord JP Morgan Chase Bank, 412 F.3d at 424; Finanz AG Zurich v. [read post]
29 Oct 2010, 6:10 pm
Morgan Chase Cash Balance Litigation, 242 F.R.D. 265, 277 (SDNY 2007)]As in the order last month, in justifying this “diversity requirement” in the JP Morgan case, Judge Baer invoked Rule 23(g) of the Federal Rules of Civil Procedure. [read post]
12 Jun 2019, 4:15 am
” It includes best practices and other contributions from businesses like DuPont, JP Morgan Chase, and General Motors, and it provides training tools for: Recruiters Hiring Managers Supervisors Consultants (and other subject matter experts); and Employees (and co-workers) You’ll find training modules, videos, white papers, forms, checklists, and more. [read post]
2 Aug 2018, 12:08 pm
JP Morgan Chase & Co. [read post]
31 Mar 2010, 9:00 am
Many courts have held these employees to be non-exempt and many large institutions, such as Bank of American NA, JP Morgan Chase & Co., Wells Fargo & Co. and Washington Mutual have been, hit and hit hard, with these kinds of actions. [read post]
14 Jan 2012, 11:51 am
Firms: Thanks for staying with me for years folks at Credit Suisse, JP Morgan Chase, Deutsche Bank, Goldman Sachs, UBS, Jeffries & Co., Brown Brothers Harriman and Houlihan Lokey. [read post]
22 May 2012, 6:42 pm
According to Levin and Merkley, who are both principal co-sponsors of the Volcker rule and its restrictions on proprietary trading, the regulation’s latest draft disregarded “clear legislative language and clear statement of Congressional intent” and left room for “portfolio hedging. [read post]
24 Jan 2023, 11:53 am
.: DVAP and JP Morgan Chase & Co. [read post]
