Tagged with "JP Morgan Chase"

SEC Awards Two JPMorgan Chase Whistleblowers $50 Million

Posted on April 2nd, 2019 at 5:19 PM
SEC Awards Two JPMorgan Chase Whistleblowers $50 Million

The SEC announced that it has awarded two whistleblowers a total of $50 million. The SEC received $267 million stemming from a settlement with JPMorgan Chase & Co.

Read More »

SEC Launches Inquiring into JPMorgan’s Fund Sales

Posted on May 21st, 2015 at 9:45 AM
SEC Launches Inquiring into JPMorgan’s Fund Sales

JP Morgan Chase & Co. is under investigation by the SEC and other regulators regarding the manner in which it sells its own mutual funds and other proprietary products.

Read More »

Staten Island Man Charged in $9 million Investment Fraud

Posted on December 29th, 2014 at 10:47 AM

Nicholas Spinelli, a Staten Island businessman, was charged in an investment fraud with stealing more than $9 million from 300 investors. 

Read More »

TESTIMONIALS

Previous
Next

Jim, Stephany and the whole team were a God send.  We felt like we were put into a situation where we had no advocate. Jim’s team came in with a strong, well laid out strategy on how to get our story heard. Where our outside compliance company had no ability to help, our Broker Dealer was impenitent, and the regulators were aggressive pursuing vague rules, Jim came like a barricade against an assault we did not understand. Though you pay member dues to be affiliated with FINRA and a B/D, you have no voice. The only thing that is truly heard in this un-level playing field is a bulldog’s bark like Jim’s. I would encourage anyone to call Jim and his team to find a real ally in the tough and complicated world of securities regulation. They are truly the best.

Greg P.

LATEST NEWS AND ARTICLES

April 25, 2024
B. Riley Financial Clears Air Amid Allegations, Stock Surges

Amidst swirling speculation regarding its connections with a client linked to the Prophecy Asset Management collapse, B. Riley Financial Inc. has conducted an internal
review, concluding no affiliations with the defunct hedge fund.

April 24, 2024
RIA Insurance Claims Skyrocket

A recent analysis by Golsan Scruggs reveals a staggering 231 percent increase in errors-and-omissions (E&O) liability claims among registered investment advisor (RIA)
insurers.

April 23, 2024
Surge Predicted in Regulation Best Interest Cases

According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.