Displaying 9 results
Team managing $800M joins Arkadios
The trio, from JPMorgan and Capitol Group, have launched Clover Capital Partners in Atlanta.
RBC adds $1 billion group from J.P. Morgan
The Nolan Group, a father-son team, will join RBC’s New York City office.
Finra slaps J.P. Morgan over ex-rep who loaded grandma up on structured products
The firm was fined $200,000 for failing to supervise the rep, whose grandmother was 88 and widowed when she opened her account in 2014.
SEC fines J.P. Morgan, UBS, TradeStation total of $2.5 million for lax ID theft prevention
Each of the firms failed to comply with the agency's rule on identify theft red flags.
J.P. Morgan loses $1.4 million defamation case to adviser
The former adviser alleged that J.P. Morgan Securities defamed him on the Form U5 it filed when he was discharged in 2017.
JPMorgan to pay $125 million penalty over messaging apps
Employees often communicated about business on their personal devices, using text messaging applications, such as WhatsApp. The compliance systems were not keeping up with technological advances, an expert said.
Florida broker to pay ex-wife $2.6 million in Finra arbitration claim
The broker, Barry Snyder, was 'hooked' on a hamburger chain stock, says the ex-wife's attorney,
Finra arbitrators order J.P. Morgan, former brokers to pay $19 million
A retailing matriarch won the decision against her grandsons, who invested her money in complex products. J.P. Morgan and the grandsons were also found liable for elder abuse under Florida law.
Finra denies J.P. Morgan effort to clamp down on breakaway brokers
Arbitrators also rebuffed brokers’ counterclaims of defamation and unfair competition
