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The SEC Fines J.P. Morgan for Failure to Maintain Required Books and Records

by Ara Jabrayan | Jan 18, 2022 | SEC NEWS, SEC Rules, Securities Exchange Act, Supervision Initiative, Uncategorized

On December 17, 2021, the SEC announced charges against J.P. Morgan Securities LLC (JP Morgan), a broker-dealer subsidiary of JPMorgan Chase & Co. The SEC alleged that the broker-dealer failed to maintain and preserve certain written communications. JP Morgan...

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The SEC Fines J.P. Morgan for Failure to Maintain Required Books and Records

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