Defendant Name:
J.P. Morgan Securities LLC
Defendant Type:
Subsidiary of Public Company
Document Reference:
2022-131_3-20936
Document Details
Legal Case Name
In the Matter of J.P. Morgan Securities LLC
Document Name
SEC Charges JP Morgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft
Document Date
27-Jul-2022
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
The SEC statet that "separately charged J.P. Morgan Securities LLC, UBS Financial Services Inc., and TradeStation Securities, Inc. for deficiencies in their programs to prevent customer identity theft, in violation of the SEC's Identity Theft Red Flags Rule, or Regulation S-ID."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Monetary Penalties:
Civil Penalty
Individual:
$1,200,000.00
Shared: