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SEC Fines Morgan Stanley $15 Million Over Failure to Protect Client Accounts
Morgan Stanley agreed to pay $15 million to settle allegations that it failed to prevent and detect theft committed by four of its former financial advisors, the Securities and Exchange Commission ...
U.S. Regulators Sue JPMorgan Chase, Bank Of America And Wells Fargo Over Alleged Fraud On Zelle
Customers across the three banks have lost a combined $870 million since Zelle launched in 2017, regulators claim.
Compliance Week27d
SEC fines Morgan Stanley $15M to settle allegations of theft of client funds
A lack of supervision and internal controls at Morgan Stanley Smith Barney (MSSB) allowed four of its investment advisers to steal millions from customers before the behavior was detected, the SEC ...
J.P. Morgan Fined $3M for Misreporting 77 Billion Shares
On Friday it was reported that the Financial Industry Regulatory Authority (FINRA) fined J.P. Morgan ( JPM, Financial) ...
Yahoo Finance21d
IBN Coverage: Brera Holdings (NASDAQ: BREA) SEC Filing Reveals JPMorgan Chase's Ownership of Ordinary Shares
LOS ANGELES - (NewMediaWire) - December 16, 2024 - Earlier this week JPMorgan Chase & Co. disclosed its 5.3% stake in Brera Holdings PLC via an SEC 6K filing through its investment management ...
The Globe and Mail25d
Brera Holdings (NASDAQ: BREA) SEC Filing Reveals JPMorgan Chase’s Ownership of Ordinary Shares
Earlier this week JPMorgan Chase & Co. disclosed its 5.3% stake in Brera Holdings PLC via an SEC 6K filing through its investment management activities. Made in accordance with the Irish Companies ...