Tag: customer funds

A review of securities enforcement litigation this week

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Resurging enforcement officials at the Commodity Futures Trading Commission brought another significant enforcement action this week. The settled proceeding was against JPMorgan Chase Bank, N.A. It arose out of the unlawful handling of customer segregated funds belonging to Lehman Brothers …

CFTC SANCTIONS JPMORGAN OVER HANDLING OF LEHMAN CUSTOMER FUNDS Read More »

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