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.

Thank you for submitting some email to us.