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The FINANCIAL The Securities and Exchange Commission today announced settled charges against J.P. Morgan Securities LLC (JPMS) for impeding hundreds of advisory clients and brokerage customers from reporting potential securities law violations to the SEC. JPMS agreed to pay an $18 million civil penalty to settle the charges. According to the SEC’s order, fromThe FINANCIAL The Securities and Exchange Commission today announced settled charges against J.P. Morgan Securities LLC (JPMS) for impeding hundreds of advisory clients and brokerage customers from reporting potential securities law violations to the SEC. JPMS agreed to pay an $18 million civil penalty to settle the charges. According to the SEC’s order, from » The FINANCIAL BANKS ....
SEC.gov | J.P. Morgan to Pay $18 Million for Violating Whistleblower Protection Rule sec.gov - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from sec.gov Daily Mail and Mail on Sunday newspapers.
SEC.gov | Deutsche Bank Subsidiary DWS to Pay $25 Million for Anti-Money Laundering Violations and Misstatements Regarding ESG Investments sec.gov - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from sec.gov Daily Mail and Mail on Sunday newspapers.
The Securities and Exchange Commission today announced charges against 15 broker-dealers and one affiliated investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications. ....
Litigation Release No. 25038 / February 26, 2021 On February 24, 2021, the U.S. District Court for the Eastern District of New York entered a final consent judgment against Christopher Fulco and Fulco s company JM Capital Holdings LLC. The Securities and Exchange Commission had charged Fulco and JM Capital with engaging in an offering fraud. According to the SEC s complaint, filed September 18, 2019, Fulco, through JM Capital, cold-called investors, including many elderly retirees, and solicited investments in multiple private companies. As alleged, the defendants never invested the money in the manner represented. Instead, according to the complaint, Fulco used the money to gamble at casinos, take vacations, and purchase luxury goods, among other personal uses. The complaint also alleged that Fulco used a series of aliases to conceal his true identity from investors and created fictitious documents to induce investors to transfer money to JM Capital. ....