J.P. Morgan Securities

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  SEC’s 16 Biggest Penalties Since Financial Crisis

  By Melanie Waddell, AdvisorOne  |  January 24, 2013

  The SEC recently released a roundup of its financial crisis enforcement actions, highlighting some of the more than 150 firms and individuals the agency has levied charges against since 2008.

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  J.P. Morgan, Credit Suisse to Pay Combined $400 Million Settlement for RMBS Violations

  By Melanie Waddell, AdvisorOne  |  November 16, 2012

  The SEC alleges that J.P. Morgan misstated information about the delinquency status of mortgage loans that provided collateral for an RMBS offering in which it was the underwriter, while Credit Suisse similarly failed to accurately disclose its practice of retaining cash for itself from the settlement of claims against mortgage...

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  AIG Stock Sale Could Trigger Federal Regulation

  By Arthur D. Postal PropertyCasualty360.com  |  September 11, 2012

  American International Group is on the verge of becoming the first insurance holding company ever regulated by the federal government.

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  New Hire Roundup: Oliner, Kleinke Join AEI; Bozek Advances at Prudential

  By Marlene Y. Satter, AdvisorOne  |  February 2, 2012

  This week in new hires, Stephen Oliner and JD Kleinke went to AEI; Joan Bozek was promoted at Prudential Retirement; Steven McKay and Joseph Kaplan went to Putnam Investments.

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  Private Equity Carlyle Group Going Public

  By Joyce Hanson, AdvisorOne  |  September 6, 2011

  Private equity giant The Carlyle Group filed with the SEC to launch an initial public offering of common stock a week after the firm made a minority investment in Avalon Advisors.

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  Fines, Awards Slapped on JP Morgan, Fisher Investments, Merrill Clearing

  By John Sullivan, AdvisorOne, Janet Levaux, AdvisorOne  |  July 8, 2011

  SEC, FINRA and private arbitration panel assess fines ranging from $376,000 to $63 million to $228 million.

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  National Philanthropic Trust Reaches $2 Billion in Charitable Gifts

  By Michael S. Fischer  |  September 23, 2010

  National Philanthropic Trust (NPT), a national public charity, announced Thursday that the organization had raised $2 billion in total charitable gifts since its inception in 1996.

• National Philanthropic Trust Reaches $2 Billion in Charitable Gifts

  By Michael S. Fischer  |  September 23, 2010

  National Philanthropic Trust (NPT), a national public charity, announced Thursday that the organization had raised $2 billion in total charitable gifts since its inception in 1996.

• Out of the Lab

  By Robert F. Keane  |  April 1, 2008

  In talking about the advisory profession, and even the more rarefied wealth management dodge, industry pundits and other gadflys often make the point that it's...