Updated Tuesday, July 29, 2014 as of 4:46 AM ET
Practice - Regulatory/Compliance
FINRA Hits Chase Investment Services With $3.6M in Penalties
by: Donna Mitchell
Tuesday, November 15, 2011
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Chase Investment Services Corp., a division of JPMorgan Chase, will have to reimburse brokerage customers $1.9 million over the sale of unit investment trusts and floating rate loan funds not deemed suitable for them, FINRA announced on Tuesday.

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