C. Patrick Thomas

C. Patrick Thomas

Lowenstein Sandler LLP

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SEC Says Language in J.P. Morgan-Affiliate Release Agreements Violates Whistleblower Protections

On January 16, the Securities and Exchange Commission (SEC) announced an $18 million settlement order (Order) with J.P. Morgan Securities LLC (JPMS) that finds that the language of release agreements JPMS entered into with...more

1/30/2024  /  Broker-Dealer , Confidentiality Agreements , Investment Adviser , Release Agreements , Securities and Exchange Commission (SEC) , Securities Exchange Act , Settlement , Whistleblowers
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