Violation Tracker Individual Record
Company:J.P. Morgan Securities
Date:September 11, 2014
Primary Offense:investor protection violation
J.P. Morgan Securities agreed to pay $51,400 in settlement of allegations it failed to ensure that its agents were properly registered in Delaware and other states.
Level of Government:state
Action Type:agency action
Agency:Delaware Attorney General
Civil or Criminal Case:civil
Private Lawsuit Resolution Type:settlement
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
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