sec whistleblower attorneys
January 09, 2020
J.P. Morgan Securities LLC
Trading and Pricing
SANCTION AMOUNT: $1822438
Defendants: J.P. Morgan Securities LLC
Settlement of charges that Respondent failed to provide certain retail retirement account and charitable organization brokerage customers with sales charge waivers and lower fee share classes when selling certain higher cost mutual funds to them that were more lucrative for Respondent.
- Key Docs
- Official SEC press release
