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Maine Office of Securities Fines J.P. Morgan Securities $51,150

Maine Office of Securities Fines J.P. Morgan Securities $51,150

Maine Office of Securities Fines J.P. Morgan Securities $51,150 150 150 Rex Securities Law

In September 2014, as part of a multi state investigation, the Maine Office of Securities found that J.P. Morgan Securities failed to establish an adequate supervisory system to monitor the registration of persons accepting client orders in accordance with firm written procedures and sanctioned J.P. Morgan $51,150. Administrative Consent Order #14-10040.

Rex Securities Law provides nationwide representation to investors seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.  Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Rex Securities Law

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