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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 -
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 -
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 -
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 -
The megabank's traditional brokerage unit has already paid a FINRA arbitration award and five settlements totaling $47.4 million.
November 29 -
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 -
The firm dragged three advisors through a lengthy arbitration case, only to lose and get saddled with all of the hearing costs.
June 7 -
Gwen Campbell, who dropped a prior lawsuit against the Wall Street bank over client poaching, opened a new legal front.
April 29 -
As CEO Jamie Dimon faced questions about a potential recession, the firm’s wealth management units displayed continuing headcount growth.
April 14 -
The latest legal fight between the firms over departing brokers raises questions about the effectiveness of the Broker Protocol.
March 14