Search for: "JPMorgan Securities"
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9 Jan 2014, 6:02 am
Osnato helped spearhead the SEC's case against JPMorgan Chase & Co. and two former traders for fraudulently overvaluing a complex trading portfolio in order to hide massive losses, and the subsequent action in which the bank admitted that it violated federal securities laws.Mr. [read post]
CFTC Accuses Peregrine Financial Group of Securities Fraud Related to $200M Customer Funds Shortfall
10 Jul 2012, 2:06 pm
Alleging Fraud, Misappropriation of Customer Funds, Violation of Customer Fund Segregation Laws, and Making False Statements, CFTC, July 10, 2012 Peregrine Financial Allegedly Has $200 Million Shortfall, Bloomberg, July 10, 2012 PFG Scandal Deepens as CFTC Files Claim, Fox Business News/Reuters, July 10, 2012 More Blog Posts: ABA Presses for Self-Funding for SEC and CFTC, Institutional Investor Securities Blog, May 31, 2012 CFTC and SEC May Need to Work Out Key Differences Related… [read post]
13 Aug 2013, 11:07 am
Attorney’s Office that the division preliminarily concluded that JPMorgan violated certain federal securities laws in connection with those offerings. [read post]
5 Dec 2011, 2:00 am
Click here for the complete Securities Law Alert and check back in December for the next installment. [read post]
29 May 2012, 1:36 pm
Morgan Securities and RBC Capital Markets to assess its business and financials, and it expects to report a quarterly loss. [read post]
29 Jun 2017, 5:04 pm
A deed of trust to Gillies’ property in Santa Barbara was recorded to secure that loan. [read post]
26 Mar 2009, 9:39 am
Edwards, Janney Montgomery Scott LLC, JPMorgan Chase & Co, Kellner Dileo & Co Inc and Oppenheimer & Co. [read post]
21 Jul 2011, 9:35 pm
Washington Mutual originally sought protection under bankruptcy law by filing for protection in 2008 after the federal government sold its assets to JPMorgan Chase for $1.9 billion making it the largest bank failure in the history of the United States. [read post]
24 Jan 2019, 8:32 am
“This United States is, without question, the world leader in innovation,” said Jamie Dimon, Chairman and Chief Executive Officer of JPMorgan Chase & Co. and Chairman of Business Roundtable. [read post]
12 Apr 2019, 12:53 pm
This whistleblower is believed to be a JPMorgan executive. [read post]
25 Sep 2009, 7:54 am
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
25 Jan 2015, 11:56 am
Lamm Jamie Dimon, CEO of JPMorgan Chase, is reputed to be a decisive person with a strong personality. [read post]
22 May 2012, 6:28 am
(together with its debtor-affiliates, “Lehman”) against JPMorgan Chase Bank, N.A (“JPMorgan”). [1] The claims at issue arose from JPMorgan’s efforts in the months leading up to Lehman’s bankruptcy to mitigate its exposure as Lehman’s primary clearing bank by requiring Lehman to post a significant amount of additional collateral and expand the scope of the obligations secured by that collateral. [read post]
20 Oct 2020, 10:18 am
This piece of legislation helped to democratize access to capital by updating the Securities Act of 1933 and the Securities Exchange Act of 1934 for the realities of the digital age of the 21st century. [read post]
30 May 2013, 2:35 pm
The answer lies in the SEC’s oversight and regulation function of the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds. [read post]
23 Sep 2019, 6:51 pm
His 2014 breach of JPMorgan Chase generated hundreds of millions of dollars in illicit revenue and stole the data of more than 80 million JPMorgan clients. [read post]
25 Jun 2010, 11:26 am
In May, JPMorgan charged 5.25% in fees and commissions on a three-month Citigroup-linked note that paid 5% interest, and Barclays offered brokers a 2% commission on a security paying 2% interest. [read post]
2 Nov 2012, 11:52 am
As a result, Dodd-Frank now requires municipal financial advisors to file with the Securities and Exchange Commission (SEC) and to comply with a fiduciary duty to respect the best interests of the taxpayers and the municipal client. [read post]
22 Jun 2009, 12:44 pm
Ufferfilge, a JPMorgan banker advising Access, for losing $98 million of the company's money betting on risky subprime mortgage securities. [read post]
5 Feb 2015, 8:01 am
Over the past 18 months, hackers have struck again and again, with incursions on Target, Staples, JPMorgan Chase, and Sony Pictures, as well as a raft of smaller companies. [read post]
