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Virtu broker-dealer also charged with failure to establish, maintain, and enforce policies and procedures to protect sensitive customer information Washington D.C. - The Securities and Exchange...
HARRISBURG – The few who own a cellphone only to make calls should consider an upgrade, and fast, because if the device operates on a 3G network it’s on the
<p><span>The Securities and Exchange Commission today announced charges against J.P. Morgan Securities LLC (JPMS), a broker-dealer subsidiary of JPMorgan Chase & Co., for widespread and longstanding failures by the firm and its employees to maintain and preserve written communications. JPMS admitted the facts set forth in the SEC’s order and acknowledged that its conduct violated the federal securities laws, and agreed to pay a $125 million penalty and implement robust improvements to its compliance policies and procedures to settle the matter.</span></p&...
<p><span>Jurors in Boston federal court today returned a verdict in the Securities Exchange Commission’s favor against a hedge fund adviser and his investment advisory firm. </span></p>