News & Analysis as of

Settlement JPMorgan Chase Dodd-Frank Wall Street Reform and Consumer Protection Act

DarrowEverett LLP

Actions vs. J.P. Morgan, Monolith Serve as SEC Compliance Check Reminders

DarrowEverett LLP on

The Securities and Exchange Commission (SEC) recently settled charges against J.P. Morgan Securities LLC (JPMS) for impeding hundreds of advisory clients and brokerage customers from reporting potential securities law...more

Orrick - Finance 20/20

CFTC Settles Charges Against JPMorgan Chase for “London Whale” Swaps

Orrick - Finance 20/20 on

On October 16, CFTC brought and settled charges of employing a manipulative device in connection with the JPMorgan Chase trading of certain credit default swaps (CDS), in violation of the new Dodd-Frank prohibition against...more

Stinson - Corporate & Securities Law Blog

FERC Chairman’s Letter To Senate Highlights FERC-CFTC Tension And A Voluntary Trader Ban In The JP Morgan $410 Million FERC...

This past Monday, September 9, the Federal Energy Regulatory Commission (FERC) posted a letter from its chairman, Jon Wellinghopf, to Senators Elizabeth Warren and Edward Markey responding to their inquiries on the...more

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