Violation Tracker Individual Record
Company:J.P. Morgan Securities LLC
Date:March 8, 2012
Primary Offense:securities issuance or trading violation
The U.S. Commodity Futures Trading Commission settled charges that J.P. Morgan Securities LLC confirmed the execution of a prearranged trade of U.S. Treasury Note Futures spreads which was fictitious and noncompetitively executed.
Level of Government:federal
Action Type:agency action
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
Specific Industry of Parent:banking & securities
Source of Data:
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