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17 May 2022, 5:00 am
Katie Porter (D-Calif) have sent letters to the CEOs of Goldman Sachs and JPMorgan Chase, seeking information on how the banks may be profiting off of Russia’s invasion of Ukraine. [read post]
14 Apr 2022, 7:16 am
Hackers and security planners in Moscow must be assessing how to mirror some of the sanctions’ economic and financial effects through disruptions in Western cyberspace. [read post]
25 Mar 2022, 12:16 pm
Arousing the Wrath of the Great and Powerful SEC and FINRA (BrokeAndBroker.com Blog)Cybercriminal Connected to Multimillion Dollar Ransomware Attacks Sentenced for Online Fraud Schemes (DOJ Release)Phony Investment Adviser Sentenced To 16 Years In Prison (DOJ Release)SEC Awards $1.25 Million to Whistleblower ClaimantOrder Determining Whistleblower Award ClaimsFINRA Bars JPMorgan Securities Rep for Reversing Bank FeesIn the Matter of Jeffrey Karakatsanis, Respondent (FINRA AWC)Fines… [read post]
16 Feb 2022, 9:30 pm
Gillers spent four years at JPMorgan Chase, ultimately serving as Vice President and Assistant General Counsel, Responsible Banking, Data and Privacy. [read post]
11 Feb 2022, 12:44 pm
JPMorgan Chase repeatedly blocked her attempts to transfer money, she said, and she grew increasingly alarmed by students who said they couldn’t access cash at local Afghan banks — many of which have closed or imposed strict withdrawal limits. [read post]
8 Feb 2022, 7:29 am
WSJ’s analyst also noted that the National Development and Reform Commission had introduced a “security-oriented economic agenda” that “is trying to fortify the Chinese economy against a prolonged period of tension” with the U.S. and its allies. [read post]
5 Feb 2022, 7:38 am
Morgan Securities LLC (JPMS), a broker-dealer subsidiary of JPMorgan Chase & Co. [read post]
28 Jan 2022, 7:21 am
By Lene Powell, J.D.SEC Enforcement Director Gurbir Grewal touched on themes of continuity and collaboration in a panel at a securities conference. [read post]
27 Jan 2022, 10:33 am
In addition, former Co-Director of Enforcement Stephanie Avakian also discussed current SEC enforcement trends under Director of Enforcement Gurbir Grewal.The panel, “The SEC in 2022”, was held at the 49th Annual Securities Regulation Institute hosted by the Northwestern University Pritzker School of Law. [read post]
24 Jan 2022, 8:38 am
Kamin and Desmond Lachman, senior fellows at AEI; Robin Brooks, chief economist at the Institute of International Finance; Joyce Change, chair of global research at JPMorgan; and M. [read post]
7 Jan 2022, 2:20 pm
Morgan Chase – For the second straight year, JPMorgan Chase finds itself among the top three SEC/CFTC recoveries. [read post]
7 Jan 2022, 2:20 pm
Morgan Chase – For the second straight year, JPMorgan Chase finds itself among the top three SEC/CFTC recoveries. [read post]
27 Dec 2021, 1:52 pm
The SEC issued subpoenas and requests and but JPMorgan was unable to fully comply because it could not obtain relevant information from the personal devices of employees. [read post]
20 Dec 2021, 11:56 am
According to the complaint, between January 2018 through November 2020, JPMorgan’s employees often communicated about securities business matters on their mobile devices, using text messages, WhatsApp, and personal email accounts, without preserving the records. [read post]
19 Dec 2021, 6:54 am
Privacy and security issues impact every aspect of our lives – home, work, travel, education, health and medical records – to name but a few. [read post]
17 Dec 2021, 5:35 am
Morgan Securities LLC (JPMS), a broker-dealer subsidiary of JPMorgan Chase & Co., for widespread and longstanding failures by the firm and its employees to maintain and preserve written communications. [read post]
11 Dec 2021, 12:46 pm
JPMorgan Admits to Widespread Record-Keeping Failures and Agrees to Pay $125 Million Penalty to Resolve SEC Charges / Firm also agrees to implement significant improvements to its compliance controls (SEC Release)CFTC Orders JPMorgan to Pay $75 Million for Widespread Use by Employees of Unapproved Communication Methods and Related Recordkeeping and Supervision Failures / JPMorgan Admits Employees Used Texts and WhatsApp on Personal Devices to Conduct Business (CFTC… [read post]
7 Dec 2021, 2:33 pm
Your Financial Advisor Has a Duty to Disclose These Risks appeared first on New York Securities Fraud Lawyers Blog. [read post]
19 Nov 2021, 10:47 am
Increased stakeholder expectations have made corporate governance more important than ever, with important implications for companies and their executives. [read post]
29 Oct 2021, 9:01 am
Matt Cooke, McKinsey: From McKinsey’s Banking & Securities Practice, I’m Matt Cooke, and this is Talking Banking Matters—new, short audio content for leaders in banking, securities, and beyond. [read post]
