SEC Actions

JP Morgan IM failed to adopt and implement adequate policies and procedures to prevent unlawful principal trades by its investment professionals during the Relevant Period ...

These proceedings arise from misleading disclosures that JP Morgan Securities used with brokerage customers investing in its “Conduit” products, which pooled customer money and invested ...

The onset of the COVID-19 pandemic resulted in highly stressed market conditions for commercial paper, debt securities issued by banks, and asset-backed securities, particularly for ...

The firm's brochure made no disclosure regarding the incentive for financial advisors to put and keep client assets in PM Program strategies to help the ...

JP Morgan Securities self-reported the issue to the Commission staff, undertook an investigation to confirm that there were no other Clone Pairs available for recommendation ...

In its representations to the Board and in the ESG Funds’ Prospectuses, WisdomTree did not describe the limitations of the data sets it used from ...

This is the DOE's priorities for FY 2025

The firm's compliance officials also erred in not recommending that the adviser also become a registered B-D

Owner suspended six months for ignoring red flags in hiring a rep who turned out to be a fraudster. The rep will likely spend the ...

This new SEC final rule amends NMS rules regarding minimum pricing increments for the quoting of certain NMS stocks. It also reduces the access fee ...