featured, FINRA, JPMorgan
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J.P. Morgan Securities LLC has agreed to pay a fine as a part of a settlement with the Financial Industry Regulatory Authority.
ASIC, featured, JPMorgan
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Following an ASIC investigation, the Markets Disciplinary Panel has fined J.P. Morgan Securities Australia Limited $775,000.
featured, JPMorgan, OCC
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The Office of the Comptroller of the Currency (OCC) today announced a $250 million civil money penalty against JPMorgan Chase Bank, N.A.
featured, JPMorgan, SEC, whistleblowing
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The Securities and Exchange Commission (SEC) today announced settled charges against J.P. Morgan Securities LLC.
featured, Gregg Smith, JPMorgan, Michael Nowak, spoofing
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Two former precious metals traders at JPMorgan Chase & Co. were sentenced on Tuesday for engaging in fraud, attempted price manipulation, and spoofing.
featured, FINRA, JPM, JPMorgan, Nasdaq
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J.P. Morgan Securities LLC has agreed to pay a fine of $750,000 to Nasdaq and FINRA for alleged rule violations.
Barclays, Citi, featured, FX benchmark rate fixing, HSBC, John Nypl, JPMorgan, UBS
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HSBC, JPMorgan, Citi, Barclays, BofA, and UBS have managed to beat claims that they conspired to fix prices in the FX market.
Christopher Jordan, featured, JPMorgan, JPMorgan spoofing
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Christopher Jordan, a former executive director and trader on JPMorgan’s precious metals desk, pushes for a judgment of acquittal in a spoofing lawsuit.
featured, Gregg Smith, JPMorgan, JPMorgan spoofing, Michael Nowak
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Gregg Smith and Michael Nowak move the Court for an order barring the government from its attempt to revise its versions of the offense conduct.
FlexTrade, JPMorgan, UBS
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FlexTrade Systems announces its first direct EU electronic execution between UBS Asset Management and JP Morgan.
