Violation Tracker Individual Record

Company: 
JPMorgan Securities
Current Parent Company: 
JPMorgan Chase
Penalty: 
$650,000
Primary Offense: 
data submission deficiencies
Violation Description: 

The U.S. Commodity Futures Trading Commission settled charges against J.P. Morgan Securities LLC for submitting inaccurate reports to the CFTC relating to the required reporting of positions held by certain large traders.

Year: 
2014
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.