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Violation Tracker Individual Record

Company: J.P. Morgan Futures, Inc.
Current Parent Company: JPMorgan Chase
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $300,000
Year: 2009
Date: September 9, 2009
Offense Group: miscellaneous offenses
Primary Offense: data submission deficiencies
Secondary Offense: securities issuance or trading violation
Violation Description: The U.S. Commodity Futures Trading Commission announced the filing and simultaneous settlement of charges against J.P. Morgan Futures, Inc., a registered futures commission merchant, for violating rules governing segregation of customer funds, timely computation of its segregation obligations, timely reporting of under-segregation deficiency to the CFTC and diligent supervision of its employees.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking & securities
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.