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1. www.sec.gov › newsroom › press-releasesJP Morgan Affiliates to Pay $151 Million to Resolve SEC ...

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   2 days ago · The Securities and Exchange Commission today charged J.P. Morgan Securities LLC (JPMS) and J.P. Morgan Investment Management Inc. (JPMIM) – both affiliates of JPMorgan Chase & Co. (JP Morgan) – in five separate enforcement actions for failures including misleading disclosures to investors, breach of fiduciary duty, prohibited joint transactions and principal trades, and failures to make ...

2. markets.businessinsider.com › news › stocksJP Morgan Affiliates To Pay $151 Mln To Settle SEC ...

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   1 day ago · (RTTNews) - The U.S. Securities and Exchange Commission charged J.P. Morgan Securities LLC or JPMS and J.P. Morgan Investment Management Inc. or JPMIM - both affiliates of JPMorgan Chase & Co ...

3. thediwire.com › jp-morgan-to-pay-151-million-toJP Morgan to Pay $151 Million to Resolve SEC Enforcement ...

   thediwire.com › jp-morgan-to-pay-151-million-to

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   1 day ago · The U.S. Securities and Exchange Commission today charged J.P. Morgan Securities LLC (JPMS) and J.P. Morgan Investment Management Inc. (JPMIM) – both affiliates of JPMorgan Chase & Co. (JP Morgan) – in five separate enforcement actions for failures including misleading disclosures to investors, breach of fiduciary duty, prohibited joint transactions and principal trades, and failures to ...

4. www.jpmorgan.com › securities-based-lendingSecurities-based lending at J.P. Morgan Securities

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   With a securities-based line of credit in place, you’ll have ready access to capital without having to liquidate your investments. You can use your marketable securities, such as stocks, bonds and mutual funds, as collateral.

5. privatebank.jpmorgan.com › eur › enSecurities-based lending | J.P. Morgan Private Bank EMEA

   privatebank.jpmorgan.com › eur › en

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   With a securities-backed line of credit in place, you’ll have ready access to capital without having to liquidate your investments. You can use your marketable securities, such as stocks, bonds and mutual funds, as collateral.

6. privatebank.jpmorgan.com › nam › enWhy we think preferred securities look strong after the 2023 ...

   privatebank.jpmorgan.com › nam › en

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   Jun 11, 2024 · Preferred securities can provide long-term investors with attractive compensation for the associated risks. Here’s our current thinking about the asset class.

7. People also ask

   Does JPMS provide brokerage services?

   • Clearing, prime brokerage and brokerage custody services are provided by JPMS LLC in the U.S. and JPMS plc in the U.K. Bank custody services are provided by JPMorgan Chase Bank, N.A. (“JPMCB”). JPMS LLC is a registered U.S. broker dealer affiliate of JPMorgan Chase & Co., and is a member of FINRA, NYSE and SIPC.

   Securities Services - J.P. Morgan

   www.jpmorgan.com/securities-services

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   Who is JP Morgan wealth management?

   • J.P. Morgan Wealth Management is a business of JPMorgan Chase & Co., which offers investment products and services through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment adviser, member FINRA, and SIPC.

   Securities-based lending at J.P. Morgan Securities

   www.jpmorgan.com/wealth-management/wealth-partners/lending/securities-based-lending

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   What does JP Morgan Securities Services do?

   • With a broad array of integrated solutions that span investment strategies, fund structures, asset types and geographies, J.P. Morgan Securities Services delivers the expertise, scale and capabilities to help our clients protect and grow their assets, optimize efficiency and maximize opportunities in diverse, global markets.

   Securities Services - J.P. Morgan

   www.jpmorgan.com/securities-services

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   Is JPMS a FINRA regulated company?

   • JPMS LLC is a registered U.S. broker dealer affiliate of JPMorgan Chase & Co., and is a member of FINRA, NYSE and SIPC. JPMS plc is authorized by the PRA and regulated by the FCA and the PRA in the U.K. JPMS plc is exempt from the licensing provisions of the Financial and Intermediary Services Act, 2002 (South Africa).

   Securities Services - J.P. Morgan

   www.jpmorgan.com/securities-services

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   Did JPMS fail to disclose financial incentives?

   • The SEC's order found that, between July 2017 and October 2024, JPMS failed to fully and fairly disclose the financial incentive it and some of its financial advisors had when they recommended JPMS's own Portfolio Management Program over third-party managed advisory programs offered by JPMS.

   JP Morgan Affiliates To Pay $151 Mln To Settle SEC Enforcement Actions

   markets.businessinsider.com/news/stocks/jp-morgan-affiliates-to-pay-151-mln-to-settle-sec-enforcement-actions-1033932133

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   Did the SEC impose a penalty on JPMS?

   • The SEC said that the two affiliates agreed to pay more than $151 million in combined civil penalties and voluntary payments to investors to resolve four of the actions. The SEC did not impose a penalty in one of the actions, taken against JPMS, because JPMS cooperated in the investigation and undertook remedial measures.

   JP Morgan Affiliates To Pay $151 Mln To Settle SEC Enforcement Actions

   markets.businessinsider.com/news/stocks/jp-morgan-affiliates-to-pay-151-mln-to-settle-sec-enforcement-actions-1033932133

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8. www.jpmorgan.com › securities-servicesSecurities Services - J.P. Morgan

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   Mar 23, 2021 · We offer full-service agency securities financing for securities held in custody at J.P. Morgan or on a non-custody/third-party basis. Institutional investors can tailor lending programs to meet specific risk/return requirements.