Defendant Name:
JPMorgan Chase Bank, N.A.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
JPMorgan Chase & Co.
SIC Code:
6021
CUSIP:
46625H10
Document Reference:
33-10600
Document Details
Legal Case Name
In the Matter of JPMorgan Chase Bank, N.A.
Document Name
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
Document Date
26-Dec-2018
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
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")."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Disgorgement
Individual:
$71,041,225.47
Shared:
Civil Penalty
Individual:
$49,728,857.83
Shared:
Pre-Judgment Interest
Individual:
$14,407,595.64
Shared:
