Violation Tracker Individual Record
: Chase Investment Services Corp.
Current Parent Company
: JPMorgan Chase
Parent at the Time of the Penalty AnnouncementPenalty
to see this data field
: July 23, 2009
: financial offenses
: investor protection violation
: financial institution supervision failures
: The Financial Industry Regulatory Authority fined five bank broker-dealers a total of $1.65 million for deficient supervision and procedures related to variable annuity (VA), mutual fund or unit investment trust (UIT) transactions.
Level of Government
: agency action
: Financial Industry Regulatory Authority
Civil or Criminal Case
HQ Country of Current Parent
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)
: FINRA is a securities industry self-regulatory body authorized by the federal government.
: 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