Regulatory actions and programs

The firm also asked for the suits filed in federal court to be thrown out.

The regulator, in a proposed final judgement, wants the former planner held liable for $123,000 spent on golf outings, shopping and cruises.

FINRA alleged he communicated with customers about standby letters of credit and bank guarantees outside the scope of his authority.

The firm was fined $1.57 million and must pay clients another $1.85 million for related infractions, the regulator said.

The bank announced that its retail brokerage arm will move to a level-fee pricing model for customer retirement accounts by April 10.

Tim Sloan acknowledged that there may have been instances in which employee complaints related to the bank's cross-selling practices may have been mishandled.

Coming right after Trump’s victory, the move may be an early indication firms believe the regulation will survive.

Here are key takeaways from a Department of Labor fact sheet.

Here's how the outcome of the presidential election could affect the trajectory of the Labor Department's regulation.

FINRA claimed the firm failed to adequately supervise the execution and approval of powers of attorneys submitted by non-U.S. customers of J.P. Morgan Private Bank.