trending Market Intelligence /marketintelligence/en/news-insights/trending/_-IH2YvcSGVO_OuR1Lsnkw2 content
Log in to other products

Login to Market Intelligence Platform

 /


Looking for more?

Contact Us

Request a Demo

You're one step closer to unlocking our suite of comprehensive and robust tools.

Fill out the form so we can connect you to the right person.

If your company has a current subscription with S&P Global Market Intelligence, you can register as a new user for access to the platform(s) covered by your license at Market Intelligence platform or S&P Capital IQ.

  • First Name*
  • Last Name*
  • Business Email *
  • Phone *
  • Company Name *
  • City *
  • We generated a verification code for you

  • Enter verification Code here*

* Required

Thank you for your interest in S&P Global Market Intelligence! We noticed you've identified yourself as a student. Through existing partnerships with academic institutions around the globe, it's likely you already have access to our resources. Please contact your professors, library, or administrative staff to receive your student login.

At this time we are unable to offer free trials or product demonstrations directly to students. If you discover that our solutions are not available to you, we encourage you to advocate at your university for a best-in-class learning experience that will help you long after you've completed your degree. We apologize for any inconvenience this may cause.

In This List

J.P. Morgan Securities fined $1.3M over background checks

Street Talk Episode 68 - As many investors zig away from bank stocks, 2 vets in the space zag toward them

Street Talk Episode 66 - Community banks tap the debt markets while the getting is good

Street Talk Episode 67 - Veteran investor tabs Mick Mulvaney to help with latest financial stock-focused fund

Street Talk Episode 65 - Deferral practices trap US bank portfolios in purgatory


J.P. Morgan Securities fined $1.3M over background checks

Wall Street's self-regulator, the Financial Industry Regulatory Authority, has hit J.P. Morgan Securities LLC with another fine.

Over accusations of failure to properly conduct background checks on about 95% of its nonregistered associates, the firm must pay $1.3 million. J.P. Morgan neither admitted nor denied FINRA's charges.

The claims of inadequate background checks include failure to obtain fingerprints in a timely manner and failure to screen for criminal convictions beyond those related to federal banking laws and an internal list. In addition, FINRA found that four individuals were allowed to be associated with the firm, despite being subject to a statutory disqualification due to criminal convictions.

The allegations and the fine cover violations from January 2009 through May 2017.

In September, FINRA fined J.P. Morgan $1.1 million on allegations that it inadvertently over-advertised its trade volume.