Violation Tracker Individual Record
Date:July 29, 2014
Primary Offense:data submission deficiencies
The U.S. Commodity Futures Trading Commission settled charges against J.P. Morgan Securities LLC for submitting inaccurate reports to the CFTC relating to the required reporting of positions held by certain large traders.
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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