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"The number of enforcement cases is likely to be down considerably going forward," said Urska Velikonja, a law professor at Emory University.
By Matt RobinsonMarch 7 -
The firm was accused of using transactions with an affiliate to reduce the amount it was required to keep in its customer reserve account.
By Matt RobinsonDecember 21 -
While it’s early in the process, a number of names are being floated as possible contenders.
By Ben BainNovember 14 -
Employees inflated new client assets managed from the fourth quarter of 2011 to 2012 to meet sales targets, according to the regulator.
By Matt RobinsonOctober 5 -
The fine is the largest ever by the agency for violations of the market access rule.
By Matt RobinsonSeptember 26 -
The SEC's allegations against David Paterson were tied to a proposal to build the largest movie studio in North America.
By Matt RobinsonSeptember 23 -
The Wall Street regulator says the firm repeatedly ignored red flags for years.
By Matt RobinsonAugust 8 -
The bank misled mutual funds and other custody clients about how it priced their foreign currency trades, the SEC alleges.
By Matt RobinsonJuly 27 -
JPMorgan Chase will pay more than $300 million to settle U.S. allegations that it didnt properly inform clients about reported conflicts of interest in how it managed customers money over a half decade.
December 21