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18 May 2012, 1:25 pm
For example, in the period between Dodd-Frank signing and proposed rule publication, JPMC met with federal regulators charged with Volcker rule implementation, either alone or with other industry members, a total of 27 times – more than any other single entity, organization, or person. [read post]
6 Feb 2014, 10:10 am
Turner & Company, LLC (“JP Turner”), has been barred by the Financial Industry Regulatory Authority (FINRA) concerning allegations that from August 12, 2009, through September 21, 2011, Winterrowd misappropriated approximately $1.5 million from at least four different customers and used the funds for his own purposes. [read post]
3 Dec 2013, 6:30 am
Although the 2012 and 2013 proxy seasons saw increased (and highly publicized) shareholder activism across a range of industries, that trend has not yet made its way to the U.S. banking industry. [read post]
11 Sep 2014, 4:27 am
While registered with Chase Investment Services and JP Morgan, the AWC asserts that Yu was also employed by J.P. [read post]
12 Aug 2014, 6:18 am
As a background, Calabro was expelled from the securities industry when on November 8, 2013, the SEC issued an order (SEC Order) finding that JP Turner registered representatives including Calabro, Jason Konner, and Dimitrios Koutsoubos churned customer accounts and Executive Vice President (EVP), Michael Bresner (Bresner), as head of supervision, failed to supervise the representative’s activities. [read post]
5 Oct 2010, 1:12 pm
Foreclosures have evolved into a massive industry for both the banks, and a few select group of law firms representing the banks. [read post]
11 Dec 2015, 4:17 pm
Have you suffered losses in JP Energy Partners LP? [read post]
10 Dec 2015, 1:35 pm
Have you suffered losses in JP Energy Partners LP? [read post]
25 Nov 2014, 8:09 am
(BD No. 25574), which later merged with JP Morgan Securities, Inc. [read post]
11 Aug 2007, 4:25 pm
This past week, MGIC Investment’s stock nosedived after JP Morgan Chase slapped it with a downgrade that, in turn, followed announcements that a planned merger with Radian Group could be on [...] [read post]
14 May 2012, 9:57 am
Morgan CEO, a leader of industry efforts to reverse key provisions of the law. [read post]
10 May 2019, 5:08 am
This is what mandatory FINRA intra-industry arbitration should look like. [read post]
8 May 2015, 2:10 pm
The sale of in-house proprietary products can be a very lucrative business for large “wire houses” as they are known in the industry. [read post]
23 Feb 2012, 2:09 am
In a Financial Industry Regulatory Authority (? [read post]
12 Aug 2018, 7:03 am
Former JP Morgan Chase Bank Employee Sentenced to Four Years in Prison for Selling Customer Account Information / Defendant Obtained and Sold For Profit Personal Identifying Information of Bank Customers (DOJ Press Release)https://www.justice.gov/usao-edny/pr/former-jp-morgan-chase-bank-employee-sentenced-four-years-prison-selling-customerFormer JP Morgan Chase Bank Peter Persaud pled guilty in the United States District Court for the Eastern District of New York to… [read post]
3 Jan 2020, 4:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5000/securities-industry-commentator/Dismissed FINRA Arbitration Against JP Morgan Involves Horrific Backstory (BrokeAndBroker.com Blog)Co-Founder Of Investment Fund Pleads Guilty To Conspiracy, Securities Fraud, Wire Fraud, And Investment Adviser Fraud Charges / Jason Rhodes Pleads Guilty to Participating in Multimillion-Dollar… [read post]
1 Mar 2019, 10:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4467/securities-industry-commentator/Wooster man indicted after making threats purporting to be from women associated with an adult website (DOJ Release)Foiling an Elder Fraud Scam / Former FBI Director Webster Assists Investigation (FBI Release)Equity Market Structure 2019: Looking Back & Moving Forward (Remarks at the… [read post]
1 Oct 2015, 6:21 am
According to BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker McGriskin entered the securities industry in 2002. [read post]
19 Sep 2013, 11:34 am
Yesterday JP Morgan Chase Bank, N.A. and certain of its affiliates entered into a sweeping consent order with the U.S. [read post]
22 Mar 2018, 11:10 am
Commerce and Industry Insurance Co., No. 115285, 2017 WL 7903997 (Okla. [read post]
