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Selected Press Releases

SEC: J.P. Morgan Misled Customers on Broker Compensation

01/06/2016

The Securities and Exchange Commission today announced that J.P. Morgan’s brokerage business agreed to pay $4 million to settle charges that it falsely stated on its private banking website and in marketing materials that advisors are compensated “based on our clients’ performance; no one is paid on commission.”Read more

Traders in China and Hong Kong Paying $920,000 to Settle Insider Trading Case

12/28/2015

The Securities and Exchange Commission today announced that two traders in China and Hong Kong have agreed to pay more than $920,000 to settle an insider trading case against them.Read more

Stockbroker Stole Investor Money for Home Renovations

11/23/2015

The Securities and Exchange Commission today announced fraud charges against a former stockbroker accused of stealing investor money to remodel his house and pay other bills.Read more

Atlanta Businessman Charged in Nursing Home Investment Scheme

11/20/2015

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze obtained against an Atlanta-based businessman accused of misusing investor funds raised to purchase and renovate senior living facilities.Read more

Assets Frozen in Alleged Immigration Scam

11/19/2015

The Securities and Exchange Commission today announced it has obtained a court order freezing the assets of a South Florida woman and her company accused of purchasing a boat and luxury cars with money she raised from investors seeking U.S. residency through the EB-5 Immigrant Investor Pilot Program. Read more