By
Jaclyn Jaeger2020-11-04T19:04:00
A subsidiary of JPMorgan Chase is facing a potential civil penalty “related to historical deficiencies in internal controls and internal audit over certain advisory and other activities.”
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2020-11-25T18:18:00Z By Aaron Nicodemus
The OCC fined JPMorgan Chase Bank N.A. $250 million for weaknesses in its internal controls and internal audit for its fiduciary activities.
2020-09-29T20:13:00Z By Aaron Nicodemus
JPMorgan Chase agreed to pay more than $920 million as part of an agreement with three federal agencies to settle allegations that the firm’s traders manipulated the precious metals markets with false trades.
2026-03-27T22:52:00Z By Oscar Gonzalez
A former bank chief executive has pleaded guilty in a U.S. federal court to charges tied to a multimillion-dollar fraud and sanctions evasion scheme linked to Venezuela. This follows the U.S. removal of Venezuelan President Nicolás Maduro from the country, and has opened up the country for trading oil and ...
2026-03-24T19:09:00Z By Adrianne Appel
The ink was barely dry on the U.S. Department of Justice’s new corporate enforcement policy (CEP) when the agency announced it would not prosecute Balt SAS for alleged bribery violations.
2026-03-20T18:24:00Z By Adrianne Appel
Bank of America has agreed to settle a class-action lawsuit alleging know-your-customer and other failings in its dealings with convicted sex offender Jeffrey Epstein.
2026-03-19T21:08:00Z By Aaron Nicodemus
The U.S. Securities and Exchange Commission’s Mark Uyeda told an audience of investment advisers that the SEC will no longer prioritize stand-alone enforcement actions for violations of the SEC’s rules on off-channel communications.
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