Violation Tracker Individual Record
Company:J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.
Date:December 18, 2015
Primary Offense:investor protection violation
The Securities and Exchange Commission announced that two J.P. Morgan wealth management subsidiaries agreed to pay $267 million and admit wrongdoing to settle charges that they failed to disclose conflicts of interest to clients.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange 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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