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Top Firm Fined Over Hiring Flaws

November 24, 2017 : Permanent Link

(HITC Business) The Financial Industry Regulatory Authority (FINRA) has announced it has fined J.P. Morgan Securities, LLC $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600, or 95 percent, of its non-registered associated persons from January 2009 through May 2017.

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