FINRA fined J.P. Morgan in 2009, and the regulator is doing so again – this time with a fine that is nearly 10 times greater – perhaps to send a message.
The work that you and your team have performed on my behalf is exemplary.
FINRA fined J.P. Morgan in 2009, and the regulator is doing so again – this time with a fine that is nearly 10 times greater – perhaps to send a message.
J.P. Morgan Securities is seeking a temporary restraining order against an advisor who defected for Merrill Lynch.
FINRA has ordered J.P. Morgan to pay a former registered representative $295,563 in compensatory damages.
J.P. Morgan currently is under investigation by the CFTC and the SEC for allegedly steering its private banking clients into its own hedge funds.
Michael Oppenheim, a former JPMorgan Chase & Co. broker, was arrested Thursday for stealing $20 million from his clients over a four-year period.
FINRA has fined 10 firms a total of $43.5 million for allowing their equity research analysts to solicit investment banking business and for offering favorable research coverage in connection with the 2010 planned initial public offering of Toys R Us.
In a legal battle between a former advisor and Hightower Holdings, a Washington state court has issued a temporary restraining order (TRO) against the Chicago-based firm.
James Eccleston has been recognized as one of America's Most Honored Lawyers by The American Registry.
Matthew J. Chimento, a former broker at E-Trade Securities in Alpharetta, Georgia, has been barred by FINRA for failing to provide information and documents related to allegations of unauthorized fund transfers from a client's account.