Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: J.P. Morgan Securities LLC
Current Parent Company: JPMorgan Chase
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $25,000,000
Year: 2010
Date: December 22, 2010
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The $25 million settlement resolved allegations the company sold unregistered securities to the Local Government Investment Pool contrary to Florida's securities law.
Level of Government: state
Action Type: agency action
Agency: Florida Attorney General
Civil or Criminal Case: civil
Facility State: Florida
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking & securities
Source of Data: Attorney General Issues Statement on Multi-Million Dollar Settlement with J.P. Morgan Securities LLC, Targeted News Service, December 22, 2010 (via Nexis).
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.