Violation Tracker Individual Record

Company: 
J.P. Morgan Securities LLC
Current Parent Company: 
JPMorgan Chase
Penalty: 
$900,000
Primary Offense: 
financial institution supervision failures
Violation Description: 

The U.S. Commodity Futures Trading Commission issued an Order filing and settling charges against J.P. Morgan Securities LLC for failing to diligently supervise its officers', employees', and agents' processing of exchange and clearing fees it charged customers for trading and clearing Chicago Mercantile Exchange, Inc. products and products from certain other exchanges during 2010 to 2014.

Year: 
2017
Agency: 
Commodity Futures Trading Commission
Civil or Criminal Case: 
civil
HQ Country of Parent: 
USA
HQ State of Parent: 
New York
Ownership Structure of Parent: 
publicly traded
Major Industry of Parent: 
financial services
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.