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Violation Tracker Individual Record

Company: JPMorgan Securities
Current Parent Company: JPMorgan Chase
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $650,000
Year: 2014
Date: July 29, 2014
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: data submission deficiencies
Violation Description: The U.S. Commodity Futures Trading Commission settled charges against J.P. Morgan Securities LLC for submitting inaccurate reports to the CFTC relating to the required reporting of positions held by certain large traders.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking & securities
Source of Data: (click here)
Archived Source: (click here)
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.