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Two financial advisors left JPMorgan Securities and one left Capital Group's high net worth unit for the fast-growing midsize firm.
October 5
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The federal court decision ended a former Chase branch-based advisor's saga of a half dozen years after the firm alleged he broke its rules for notarizing documents.
September 19
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As a result of the deleted records, the regulator said that JPMorgan could not come up with requested documents in eight SEC investigations and four other regulatory probes.
June 22
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JPMorgan Securities asked a court to order one of its former employees to stop poaching its customers for his new employer, Morgan Stanley Smith Barney.
January 12
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The megabank's traditional brokerage unit has already paid a FINRA arbitration award and five settlements totaling $47.4 million.
November 29
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The megabank’s CEO says consumers are “in great shape,” even though many fear a recession is on the horizon like a gathering storm.
July 14
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The firm dragged three advisors through a lengthy arbitration case, only to lose and get saddled with all of the hearing costs.
June 7
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Gwen Campbell, who dropped a prior lawsuit against the Wall Street bank over client poaching, opened a new legal front.
April 29
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As CEO Jamie Dimon faced questions about a potential recession, the firm’s wealth management units displayed continuing headcount growth.
April 14
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The latest legal fight between the firms over departing brokers raises questions about the effectiveness of the Broker Protocol.
March 14
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The mortgage interest deduction is capped, but the investment interest expense deduction isn’t.
March 7
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The grandsons lost a bid to force Beverley Schottenstein to negotiate a FINRA award in her favor.
February 28
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A former Chase bank-based financial advisor won the arbitration award as critics say giant brokerages abuse U5 termination disclosures.
February 15
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The firm is following through on its $30-billion pledge and trying to forge a different onramp into the profession.
June 23
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The firm serves UHNW clients, and the advisors embarked on a search in order to enable clients to have more access to private investments.
May 27
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Two advisors left their prior firm of 10 years after the bank’s wealth and asset management unit generated record net income in the first quarter.
May 18
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Wealthy retail matriarch Beverley Schottenstein will accept less than the $10 million that FINRA ordered her two grandsons, former JPM brokers, to pay her for mismanaging her money.
April 16
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Beverley Schottenstein accused the bank and the brokers of unauthorized trading of “multiple auto-callable structured notes and various other securities,” among other alleged misconduct.
February 10
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The advisors are reuniting with a former Smith Barney colleague in one of the firm’s largest hires of the year.
October 16
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The new additions include an advisor with five decades of experience in the business, plus his two sons.
June 11
