Defendant Name: JPMorgan Chase Bank, N.A.

Defendant Type: Subsidiary of Public Company
Public Company Parent: JPMorgan Chase & Co.
SIC Code: 6021
CUSIP: 46625H10

Initial Case Details

Legal Case Name In the Matter of JPMorgan Chase Bank, N.A.
First Document Date 26-Dec-2018
Initial Filing Format Administrative Action
File Number 3-18963
Allegation Type Broker Dealer

Violations Alleged

Securities Act
• Sec 17(a)(3)

Resolutions

First Resolution Date 26-Dec-2018
Headline Total Penalty and Disgorgement $135,000,000

Related Documents:

33-10600 26-Dec-2018 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On December 26, 2018, the SEC issued an order against JP Morgan Chase Bank, N.A. stating: "These proceedings arise out of JPMorgan's improper practices involving the pre-release of American Depositary Receipts ("ADRs")."
2018-306 26-Dec-2018 Press Release--Administrative Proceeding
JPMorgan to Pay More Than $135 Million for Improper Handling of ADRs
The SEC stated: "JPMorgan Chase Bank N.A. will pay more than $135 million to settle charges of improper handling of "pre-released" American Depositary Receipts (ADRs)."