Violation Tracker Individual Record
Company:JPMorgan Chase & Co.
Date:March 1, 2016
Offense Group:financial offenses
Primary Offense:investor protection violation
JPMorgan agreed to pay $135,000 in restitution, $250,000 for investor education, $260,000 in costs and a $260,000 civil penalty in settlement of allegations it did not explain the risks of residential mortgage-backed securities to investors.
Level of Government:state
Action Type:agency action
Agency:Indiana Securities Division
Civil or Criminal Case:civil
Case ID:15-0024 CA
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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