J.P. Morgan Securities LLC

UNITED STATES OF AMERICA. Before the Securities AND exchange commission . Securities exchange ACT OF 1934. Release No. 93807/ December 17, 2021. ADMINISTRATIVE PROCEEDING. File No. 3-20681. ORDER INSTITUTING ADMINISTRATIVE. In the Matter of AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTIONS 15(b) AND 21C. Morgan Securities LLC OF THE Securities exchange ACT OF. 1934, MAKING FINDINGS, AND IMPOSING. Respondent. REMEDIAL SANCTIONS AND A CEASE- AND-DESIST ORDER. I. The Securities and exchange commission ( commission ) deems it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, and hereby are, instituted pursuant to Sections 15(b) and 21C of the Securities exchange Act of 1934. ( exchange Act ) against Morgan Securities LLC ( Respondent or JPMorgan ). II. In anticipation of the institution of these proceedings, Respondent has submitted an Offer of Settlement ( Offer ) that the commission has determined to accept.

New York, New York and is registered with the Commission as a broker-dealer and as an investment adviser. It is a wholly owned subsidiary of JPMorgan Chase & Co., a global financial services firm incorporated in Delaware and headquartered in New York, New York. Recordkeeping Requirements under the Exchange Act 10.

Loading..

Tags:

  York, Commission, New york, Securities, Exchange

Information

Related search queries