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19 Jul 2008, 2:48 pm
In the months leading up to the collapse, JP Morgan Securities, Inc., Lehman Brothers, Morgan Stanley, Bear Stearns Cos. and Merrill Lynch & Co. warned the Commonwealth of Massachusetts that the auction-rate markets were in trouble and that the state should consider refinancing some of its debt. [read post]
4 Sep 2008, 7:11 pm
While regulators have announced tentative settlements with major Wall Street firms (Merrill Lynch, UBS, JP Morgan, Goldman Sachs, Morgan Stanley, Wachovia, Citigroup, and Deutsche Bank) that underwrote auction-rate securities, these settlements have not addressed the situation of thousands of investors that purchased auction-rate securities through smaller brokerage firms. [read post]
14 Jan 2025, 3:52 am
JP Morgan is making waves with its decision to bring employees back to the office five days a week starting in March. [read post]
17 May 2013, 10:06 am
(Dimon, of course, is today Chairman of the Board and CEO of JP Morgan; Lee Raymond is JPM's "lead" director.) [read post]
8 May 2013, 9:45 pm
ICG's activity caught the attention of FINRA, which identified the following "red flags" that Gar Wood apparently failed to act upon: • ICG opened a new account and delivered physical certificates representing a large block of thinly traded or low priced securities; • ICG had a pattern of depositing physical share certificates, immediately selling the shares and then wiring out the proceeds of the sale; • ICG deposited share certificates that were recently issued or represented a… [read post]
14 Jan 2025, 3:52 am
JP Morgan is making waves with its decision to bring employees back to the office five days a week starting in March. [read post]
9 Jul 2012, 7:41 am
The wife of a retired minister is suing JP Morgan Chase, claiming the bank's foreclosure action caused her husband's fatal heart attack. [read post]
6 May 2011, 6:57 am
Recently, JP Morgan Chase paid $56 million to settle a class-action lawsuit alleging widespread misconduct in handling the mortgages of active-duty soldiers, sailors, airmen and Marines. [read post]
18 Dec 2009, 9:12 pm
This Wednesday, JP Morgan Chase & Co. announced the winners of the first round of its "Community Giving" online fundraising contest. [read post]
13 Mar 2024, 8:04 am
On 13 March 2024, the Chief Executive of the Financial Conduct Authority (FCA), Nikhil Rathi, delivered a speech on the future of pensions at the JP Morgan Pensions and Savings Symposium. [read post]
7 Oct 2010, 9:55 pm
USAToday.com has posted an article about how foreclosed homes could become harder to buy since Old Republic National Title Insurance has stopped insuring homes' titles that have been foreclosed by GMAC Mortgage and JP Morgan Chase. [read post]
18 Nov 2024, 10:39 am
Morgan Securities LLC (JP Morgan), has been subject to at least four customer complaints during his career. [read post]
23 Jul 2010, 6:13 pm
JP Morgan Securities Inc, Law.com [read post]
10 Feb 2011, 2:47 pm
WAMU was subsequently acquired by JP Morgan Chase Bank (“Chase”) which became the owner of the mortgage note. [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]
24 Jan 2022, 2:27 am
JP Morgan Securities' Regional Director's Affidavit Fails to Carry Day in TRO for Impermissible Solicitation (BrokeAndBroker.com Blog)BREAKING NEWS: 2Cir Reverses LIBOR Judgments for Insufficient EvidenceUnited States of America, Appellee-Cross-Appellant, v. [read post]
1 Aug 2022, 4:04 am
GUEST BLOG: [In]Securities: Lip Service: The SEC, Reg S-ID, and the Majestic Equality of Regulation by Aegis Frumento Esq (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6592/aegis-frumento-insecurities-identity-theft/In settling three Reg S-ID cases on the same day last July, the SEC fined JP Morgan $1.2 million; UBS $925,000; and TradeStation $425,000. [read post]
16 Aug 2014, 6:36 pm
This week, Christ Church, an Episcopal Church in Indianapolis, Indiana, filed suit against JP Morgan Chase alleging mishandling of the church's $35 million trust whose assets came originally from gifts from Eli Lilly, Jr. [read post]
21 Jun 2022, 4:24 am
JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration (BrokeAndBroker.com Blog)Former Head of Corporate Communications of $21 Billion Biopharmaceutical Company Admits Insider Trading (DOJ Release)Federal Indictment Charges CPA With Securities Fraud / More than 19 investors at or near retirement age lost over $3.6 million (DOJ Release)Rip Current Rulemakings: Statement on the Regulatory Flexibility Agenda by SEC Commissioner Hester M. [read post]
24 Jan 2022, 2:27 am
JP Morgan Securities' Regional Director's Affidavit Fails to Carry Day in TRO for Impermissible Solicitation (BrokeAndBroker.com Blog)Texan admits to smuggling people in coffin (DOJ Release)SEC Proposes Amendments to Enhance Private Fund Reporting (SEC Release)Former UBS Financial Advisor Charged with Defrauding over $5 Million Dollars from His UBS Clients (DOJ Release)Former Financial Advisor Charged with Stealing $5.8 Million from Client (SEC Release) Texas Man… [read post]
