Violation Tracker Individual Record
Company:
J.P. Morgan Securities LLC
Current Parent Company:
JPMorgan Chase
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 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:
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.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.
