Defendant Name:
J.P. Morgan Securities LLC
Defendant Type:
Subsidiary of Public Company
Document Reference:
court_doc4_11-cv-04206
Document Details
Legal Case Name
SEC v. J.P. Morgan Securities LLC (f/k/a J.P. Morgan Securities Inc.)
Document Name
Final Judgment as to Defendant J.P. Morgan Securities LLC
Document Date
29-Jun-2011
Document Format
Civil Proceeding
Case Number
11-cv-04206
Federal District Court
New York, Southern District of New York
Federal District Judge
Richard M. Berman
Allegation Type
Securities Offering
Document Summary
On June 29, 2011, Federal District Judge Richard M. Berman entered Final Judgment against J.P. Morgan Securities LLC, pursuant to the SEC and J.P. Morgan Securities LLC's consent. The Court also ordered that: "based on Defendant's agreement to cooperate in this action and any related actions, the Court is not ordering Defendant to pay a civil penalty in excess of $133,000,000."
Disgorgement & Penalty Information
Resolutions
Enjoinment
Other Compliance Related Undertaking
Various undertakings
Fair Funds
Monetary Penalties:
Disgorgement
Individual:
$18,600,000.00
Shared:
Civil Penalty
Individual:
$133,000,000.00
Shared:
Pre-Judgment Interest
Individual:
$2,000,000.00
Shared: