JPMorgan Pays $151M to Settle Slate of SEC Complaints

Published on November 1, 2024

One issue involved a Reg BI violation for steering clients into pricey mutual fund investments despite cheaper alternatives.

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A Look Back at Crypto ETFs

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VettaFi discusses crypto ETF launches.

Ex-JPMorgan Advisor to Halt Client Poaching Amid Arbitration

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Gary Carruthers was sued after allegedly persuading former clients with $24 million in assets to move their business to Wells Fargo.      Related StoriesOlder Americans' Spending Is No Longer Supercharged: BofARep Churned Senior Business Owner's Account, Violated Reg BI: FINRALPL Discloses $18M Charge, but No Arnold Updates on Q3 Call