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159 Violation Tracker results found

Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.

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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearAgencyPenalty Amount
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2018DC-DISB$5,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020KY-FIN$325,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020SEC$35,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2019FINRA$1,100,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2021NM-AG$4,642,857
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2022SEC$1,200,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2023SEC$4,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2024SEC$18,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial serviceskickbacks and bribery2009SEC$75,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003SEC$80,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005SEC$700,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesprice-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014SEC$54,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014DE-AG$51,400
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014MULTI-FIN$2,800,000
J.P. Morgan Chase& Co.JPMorgan Chasefinancial servicesprice-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
J.P. Morgan Chase Bank, N.A.JPMorgan Chasefinancial servicesanti-money-laundering deficiencies2014FINCEN$461,000,000
J.P. Morgan Chase & Co. and Forum Temporary ServicesJPMorgan Chasefinancial serviceslabor relations violation2006NLRB$60,760
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003SEC$135,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003NY-MANDA$25,000,000
J.P. Morgan ChaseJPMorgan Chasefinancial servicesdiscriminatory practices (non-employment)2010private lawsuit-federal$1,950,000
J P Morgan Securities LLCJPMorgan Chasefinancial servicesinsurance violation2018NY-DFS$11,750
J P Morgan ChaseJPMorgan Chasefinancial servicesFamily and Medical Leave Act2007WHD$5,008
First USAJPMorgan Chasefinancial servicesconsumer protection violation2002MULTI-AG$1,300,000
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2019SEC$1,005,194
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2022SEC$1,825,953
El Paso Electric CorporationJPMorgan Chasefinancial servicesenergy market violation2003FERC$15,500,000
El Paso Electric CompanyJPMorgan Chasefinancial serviceslabor relations violation2012NLRB$79,692
El Paso Electric CompanyJPMorgan Chasefinancial serviceslabor relations violation2009NLRB$11,500
El Paso Electric CompanyJPMorgan Chasefinancial servicesutility administrative violation2010NM-PRC$5,000
EL PASO ELECTRIC COMPANYJPMorgan Chasefinancial servicesworkplace safety or health violation2011OSHA$18,300
EL PASO ELECTRIC COMPANYJPMorgan Chasefinancial servicesworkplace safety or health violation2015OSHA$7,000
EL PASO ELECTRIC COMPANYJPMorgan Chasefinancial servicesworkplace safety or health violation2023OSHA$10,000
El Paso ElectricJPMorgan Chasefinancial servicesenvironmental violation2015EPA$3,800,000
EL PASO ELECTRICJPMorgan Chasefinancial servicesworkplace safety or health violation2010OSHA$6,000
Chase Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2001FINRA$10,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2009FINRA$32,500
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2004FINRA$250,000
Chase Bank USA, N.A.JPMorgan Chasefinancial servicesconsumer protection violation2009NY-AG$4,400,000
Chase Bank USA N.A.JPMorgan Chasefinancial servicesconsumer protection violation2015MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $106,000,000
Chase Bank USA et al.JPMorgan Chasefinancial servicesprice-fixing or anti-competitive practices2022private lawsuit-federal$19,500,000
Chase BankJPMorgan Chasefinancial servicesconsumer protection violation2006MULTI-AG$3,850,000
Chase BankJPMorgan Chasefinancial serviceswage and hour violation2010MI-LEO$15,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006SEC$1,500,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005IL-SEC$10,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003SEC$80,000,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2004FINRA$4,950,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2004FINRA$280,469
Bear Stearns Companies, LLCJPMorgan Chasefinancial servicesmortgage abuses2008FTC$28,000,000
Bear Stearns & Co. LLCJPMorgan Chasefinancial servicesinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000
Bear StearnsJPMorgan Chasefinancial serviceswage and hour violation2010private lawsuit-federal$675,000
Bank One, KY, N.A.JPMorgan Chasefinancial servicesdiscriminatory practices (non-employment)2005private lawsuit-federal$6,715,000
Bank OneJPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$5,500
Bank OneJPMorgan Chasefinancial serviceseconomic sanction violation2004OFAC$6,682
Affinion Group, Inc.JPMorgan Chasefinancial servicesconsumer protection violation2010NY-AG$8,000,000
AffinionJPMorgan Chasefinancial servicesconsumer protection violation2013MULTI-AG$30,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.