FINRA Fines J.P. Morgan Securities, LLC $1.25 Million for Failing to Appropriately Fingerprint or Screen Its Employees
November 22, 2017
November 22, 2017
WASHINGTON, Nov. 22 -- The Financial Industry Regulatory Authority issued the following news release:
The Financial Industry Regulatory Authority (FINRA) today announced it has fined J.P. Morgan Securities, LLC $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600, or 95 percent, of its non-registered associated persons from January 2009 through May 2017.
Federal securities laws require broker-dealers to fingerprint certain ass . . .
The Financial Industry Regulatory Authority (FINRA) today announced it has fined J.P. Morgan Securities, LLC $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600, or 95 percent, of its non-registered associated persons from January 2009 through May 2017.
Federal securities laws require broker-dealers to fingerprint certain ass . . .