Search for: "JP Morgan Securities LLC"
Results 1 - 20
of 201
Sort by Relevance
|
Sort by Date
5 Feb 2024, 9:01 pm
On January 16, 2024, the Securities and Exchange Commission announced a settled enforcement action against JP Morgan Securities, LLC (“JPMS”) for violating Rule 21F-17(a) of the Securities Exchange Act of 1934.[1] Like other recent 21F-17(a) cases brought by the SEC, the case involved a claim that certain confidentiality language in an agreement with individuals would impede those individuals from reporting potential… [read post]
25 Jan 2024, 2:51 pm
Most recently, in United Talent Agency, LLC v. [read post]
24 Jan 2024, 4:29 pm
On September 29, Goldman Sachs, JP Morgan, and Bank of America agreed to pay a total of roughly $53 million to settle CFTC charges relating to a variety of swap dealer activities including failures related to swap data reporting. 10 — Exelon (SEC). [read post]
16 Jan 2024, 2:47 pm
Morgan Securities LLC in which the company agreed to pay $18 million to settle charges that it impeded the ability of advisory clients and brokerage customers to blow the whistle to the SEC. [read post]
16 Jan 2024, 2:04 pm
That’s exactly what JP Morgan required customers to do for three years, until the SEC stepped in. [read post]
16 Jan 2024, 7:20 am
Morgan Securities LLC (JPMS) for impeding hundreds of advisory clients and brokerage customers from reporting potential securities law violations to the SEC. [read post]
16 Jan 2024, 5:46 am
Morgan Securities LLC (JPMS) for impeding hundreds of advisory clients and brokerage customers from reporting potential securities law violations to the SEC. [read post]
3 Oct 2023, 8:44 am
Morgan Securities LLC, and J.P. [read post]
26 Sep 2023, 9:01 pm
JP Morgan Chase,[1] concluding that the plaintiff failed to adequately plead that the syndicated term loans at issue were securities. [read post]
4 Sep 2023, 9:01 pm
JP Morgan Chase Bank, N.A., Case No. 21-2726, 2023 WL 5437811 (2d Cir. [read post]
27 Jun 2023, 5:35 am
The White Law Group reviews the regulatory history of JP Morgan Securities LLC. [read post]
11 May 2023, 12:36 pm
See JP Morgan Securities Hit with $125 Million According to a separate statement, Scotiabank and Scotia Capital also agreed to pay $15 million to the U.S. [read post]
12 Apr 2023, 8:25 am
Bear Stearns, which was subsequently taken over by JP Morgan during the finance Intel crisis had won a $1.6 billion hedge fund that collapsed would happen there is, you know, we talk about style drift, they had a lot of exposure to subprime mortgage assets, which went bust in that financial crisis. [read post]
31 Mar 2023, 11:36 am
As we reported in January 2021, FINRA reportedly suspended JP Morgan advisor Trevor Rahn for 18 months after allegations that he implemented an unauthorized and unsuitable trading strategy for customer orders. [read post]
31 Mar 2023, 9:00 am
One example is the SEC’s action against JP Morgan Securities LLC and an additional 15 broker-dealers for failing to preserve work-related communications sent and received on employees’ personal devices. [read post]
22 Mar 2023, 12:52 pm
They had other big banks like Citigroup and Morgan Stanley, and JP Morgan deposit, something like $30 billion at the bank to give it a vote of confidence and to give it, you know, some assets that will help it get through this crisis. [read post]
15 Mar 2023, 7:22 am
” “Big banks” refer to Citigroup, Morgan Stanley, JP Morgan, etc. [read post]
1 Mar 2023, 7:55 am
So if you had an accountant at JP Morgan Chase and there were problems, and millions of people tried to pull their money out, the bank could collapse. [read post]
16 Feb 2023, 6:02 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to the representation of investors in FINRA arbitration claims against brokerage firms throughout the United States. [read post]
18 Nov 2022, 9:37 am
MORGAN SECURITIES LLC (CRD#:79), SAN FRANCISCO, CA, B, 04/03/1995 – 12/06/2005, LEHMAN BROTHERS INC. [read post]
