Violation Tracker Individual Record
Company:
J.P. Morgan Securities, LLC
Current Parent Company:
JPMorgan Chase
Penalty:
$51,120
Year:
2014
Date:
August 15, 2014
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Violation Description:
Multi-state litigation. Penalty amount is share of total going to Alaska.
Level of Government:
state
Action Type:
agency action
Agency:
Alaska Division of Banking and Securities
Civil or Criminal Case:
civil
Facility State:
Alaska
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 Notes:
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.
