JP Morgan Chase Bank, NA | export control violation | 2010 | BIS | $19,125 |
JPMorgan Chase | False Claims Act and related | 2014 | DOJ_CIVIL | $614,000,000 |
J P Morgan Chase | Family and Medical Leave Act | 2007 | WHD | $5,008 |
JPMorgan Securities | Foreign Corrupt Practices Act | 2016 | DOJ_CRIMINAL | $72,000,000 |
JPMorgan Chase & Co. | Foreign Corrupt Practices Act | 2016 | SEC | $130,000,000 |
JPMorgan Chase & Co. | fraud | 2020 | DOJ_CRIMINAL | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $920,000,000 |
J P Morgan Securities LLC | insurance violation | 2018 | NY-DFS | $11,750 |
J.P. Morgan Securities LLC | investor protection violation | 2016 | SEC | $4,000,000 |
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. | investor protection violation | 2015 | SEC | $267,000,000 |
JPMorgan Chase | investor protection violation | 2013 | CFTC | $100,000,000 |
JPMorgan Chase Bank | investor protection violation | 2012 | CFTC | $600,000 |
J.P. Morgan Securities LLC | investor protection violation | 2012 | CFTC | $140,000 |
J.P. Morgan Investment Management Inc. | investor protection violation | 2015 | SEC | $1,084,210 |
J.P. Morgan Securities LLC | investor protection violation | 2015 | SEC | $500,000 |
J.P. Morgan Securities | investor protection violation | 2014 | SEC | $54,000 |
Bear, Stearns & Co., Inc. | investor protection violation | 2006 | SEC | $1,500,000 |
J.P. Morgan Securities, Inc. | investor protection violation | 2006 | SEC | $1,500,000 |
Bear, Stearns & Co., Inc. | investor protection violation | 2006 | SEC | $250,000,000 |
Banc One Investment Advisors Corporation | investor protection violation | 2004 | SEC | $50,000,000 |
J.P. Morgan Securities Inc. | investor protection violation | 2003 | SEC | $25,000,000 |
Bear, Stearns & Co. Inc. | investor protection violation | 2003 | SEC | $80,000,000 |
J.P. Morgan Securities Inc. | investor protection violation | 2003 | SEC | $80,000,000 |
J.P. Morgan Securities LLC | investor protection violation | 2017 | CFTC | $900,000 |
JPMorgan Chase & Co. | investor protection violation | 2008 | SEC | $1,998,143 |
J.P. Morgan Securities Inc. | investor protection violation | 2005 | SEC | $700,000 |
JPMorgan Chase Bank N.A. | investor protection violation | 2018 | SEC | $135,100,000 |
First Republic Investment Management, Inc. | investor protection violation | 2019 | SEC | $1,005,194 |
Banc One Investment Advisors Corporation | investor protection violation | 2004 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $90,000,000 |
Bear Stearns | investor protection violation | 2012 | MI-AG | $275,000,000 |
Bear Stearns & Co. LLC | investor protection violation | 2002 | MULTI-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. | investor protection violation | 2002 | MULTI-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 Securities | investor protection violation | 2014 | DE-AG | $51,400 |
J.P. Morgan Securities LLC | investor protection violation | 2010 | FL-AG | $25,000,000 |
J.P. Morgan Securities, LLC | investor protection violation | 2014 | NJ-AG | $50,460 |
JP Morgan Chase & Co. | investor protection violation | 2008 | MULTI-AG | $3,525,000,000 |
JPMorgan Chase | investor protection violation | 2015 | MULTI-AG | $150,000,000 |
JPMorgan Chase & Co. | investor protection violation | 2010 | NJ-AG | $1,149,028 |
J.P. Morgan Securities LLC | investor protection violation | 2020 | SEC | $1,822,438 |
J.P. Morgan Securities, LLC | investor protection violation | 2014 | AK-DBS | $51,120 |
J.P. Morgan Securities LLC | investor protection violation | 2014 | CT-SEC | $53,800 |
J.P. Morgan Securities LLC | investor protection violation | 2018 | DC-DISB | $5,000 |
Bear, Stearns & Co., Inc. | investor protection violation | 2005 | IL-SEC | $10,000 |
JPMorgan Chase & Co. | investor protection violation | 2016 | IN-SEC | $905,000 |
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC | investor protection violation | 2016 | IN-SEC | $950,000 |
J.P. Morgan Securities LLC | investor protection violation | 2020 | KY-FIN | $325,000 |
JPMorgan Chase Bank, N.A. | investor protection violation | 2017 | MD-SEC | $100,000 |
Bear, Stearns & Co. Inc. | investor protection violation | 2003 | MULTI-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 | investor protection violation | 2014 | MULTI-FIN | $2,800,000 |
J.P. Morgan Securities Inc. | investor protection violation | 2003 | MULTI-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 |
JPMorgan Chase & Co. | investor protection violation | 2008 | MULTI-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 |
JPMorgan Chase & Company | investor protection violation | 2020 | CFTC | $920,200,000 |
J.P. Morgan Securities LLC | investor protection violation | 2020 | SEC | $35,000,000 |
J.P. Morgan Securities LLC | investor protection violation | 2019 | FINRA | $280,000 |
J.P. Morgan Securities LLC | investor protection violation | 2019 | FINRA | $1,100,000 |
J.P. Morgan Securities | investor protection violation | 2017 | FINRA | $2,800,000 |
J.P. Morgan Securities, LLC | investor protection violation | 2017 | FINRA | $1,250,000 |
J.P. Morgan Securities LLC | investor protection violation | 2017 | FINRA | $800,000 |
JP Morgan Securities LLC | investor protection violation | 2014 | FINRA | $5,000,000 |
JP Morgan | investor protection violation | 2012 | FINRA | $623,376 |
Chase Investment Services Corporation | investor protection violation | 2011 | FINRA | $3,600,000 |
Chase Investment Services Corp. | investor protection violation | 2009 | FINRA | $250,000 |
Chase Investment Services Corp. | investor protection violation | 2009 | FINRA | $32,500 |
Banc One Securities Corporation | investor protection violation | 2008 | FINRA | $225,000 |
Bear, Stearns & Co., Inc. | investor protection violation | 2008 | FINRA | $150,000 |
J.P. Morgan Securities, Inc. | investor protection violation | 2007 | FINRA | $500,000 |
Chase Investment Services Corporation | investor protection violation | 2006 | FINRA | $500,000 |
Chase Investment Services | investor protection violation | 2005 | FINRA | $290,262 |
J.P. Morgan Securities, Inc. | investor protection violation | 2005 | FINRA | $160,000 |
Chase Investment Services Corp. | investor protection violation | 2005 | FINRA | $60,000 |
J.P. Morgan Securities, Inc. | investor protection violation | 2005 | FINRA | $150,000 |
Chase Investment Services | investor protection violation | 2005 | FINRA | $2,000,000 |
Banc One Securities Corporation | investor protection violation | 2005 | FINRA | $400,000 |
Chase Investment Services Corp. | investor protection violation | 2004 | FINRA | $250,000 |
Bear, Stearns & Co. Inc. | investor protection violation | 2004 | FINRA | $4,950,000 |
Bear, Stearns & Co. Inc. | investor protection violation | 2004 | FINRA | $280,469 |
J.P. Morgan Securities, Inc. | investor protection violation | 2003 | FINRA | $6,000,000 |
J.P. Morgan Securities, Inc. | investor protection violation | 2001 | FINRA | $10,000 |
Chase Securities, Inc. | investor protection violation | 2001 | FINRA | $10,000 |
J. P. Morgan Securities Inc. | investor protection violation | 2000 | FINRA | $200,000 |
JPMorgan Chase Bank, N.A. | investor protection violation | 2021 | CFTC | $75,000,000 |
J.P. Morgan Securities LLC | investor protection violation | 2021 | SEC | $125,000,000 |
First Republic Investment Management, Inc. | investor protection violation | 2022 | SEC | $1,825,953 |
JPMorgan Chase Bank, N.A. | investor protection violation | 2022 | CFTC | $850,000 |
J.P. Morgan Securities LLC | investor protection violation | 2022 | SEC | $1,200,000 |
J.P. Morgan Securities LLC | investor protection violation | 2023 | SEC | $4,000,000 |
JPMorgan Chase Bank, N.A. | investor protection violation | 2023 | CFTC | $15,000,000 |
J.P. Morgan Securities LLC | investor protection violation | 2024 | SEC | $18,000,000 |
J.P. Morgan Securities Inc. | kickbacks and bribery | 2009 | SEC | $75,000,000 |
El Paso Electric Company | labor relations violation | 2012 | NLRB | $79,692 |
El Paso Electric Company | labor relations violation | 2009 | NLRB | $11,500 |
J.P. Morgan Chase & Co. and Forum Temporary Services | labor relations violation | 2006 | NLRB | $60,760 |
JPMorgan Chase & Co. | mortgage abuses | 2012 | DOJ | $5,333,600,000 |
Bear Stearns Companies, LLC | mortgage abuses | 2008 | FTC | $28,000,000 |
JP Morgan Chase | mortgage abuses | 2015 | MA-AG | $675,000 |
JPMorgan Chase | mortgage abuses | 2012 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,121,188,661 |
JPMorgan Chase Bank | mortgage abuses | 2015 | MD-AG | $400,000 |
JPMorgan Chase & Co. | price-fixing or anti-competitive practices | 2011 | DOJ_ANTITRUST | $228,000,000 |
JPMorgan Chase & Co. | price-fixing or anti-competitive practices | 2015 | DOJ_CRIMINAL | $550,000,000 |
JPMorgan Chase Bank | price-fixing or anti-competitive practices | 2014 | CFTC | $310,000,000 |
JP Morgan Ventures Energy Corporation | price-fixing or anti-competitive practices | 2013 | FERC | $410,000,000 |
JPMorgan Chase Bank, N.A. | price-fixing or anti-competitive practices | 2018 | CFTC | $65,000,000 |