J.P. Morgan Securities LLC: $35M Penalty

Administrative Order by the U. S. Securities and Exchange Commission imposing a fine of $25 million and disgorgement of $10 million on J.P. Morgan Securities LLC for regulatory breaches.

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Pages: 5

Date: September 29, 2020

Defendant(s)/Respondent(s): J.P. Morgan Securities LLC

Plaintiff(s)/Applicant(s): U. S. Securities and Exchange Commission

Case Number: Xx Xx Xx

Topic: Investment, Regulatory

Allegation: Fraud

Topics

Keywords

JPMorgan U. S. Securities and Exchange Commission

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