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January 16, 2024

Posted  January 16, 2024

J.P. Morgan Securities LLC (JPMS) has agreed to pay $18 million to settle charges of violating the whistleblower protection rule of the Securities Exchange Act of 1934.  According to the SEC, JPMS asked hundreds of clients who received credits or settlements over $1,000 to sign confidentiality agreements that allowed them to answer SEC inquiries, but not voluntarily contact the SEC.  SEC

Tagged in: Whistleblower Protection Laws,