December 3, 2014 FINRA Fines Firm for "Aggressive" Investments FINRA fined JP Morgan Securities for overly concentrated short positions in U.S. Treasuries made by one of its brokers for two clients. See: FINRA Dispute Resolution; BrokerCheck Report. Tags Body of Law Securities Law Jurisdiction US - Federal Organization FINRA / MSRB / Security Exchanges / SIPC / Accountants Sub-Author FINRA
Body of Law Securities Law Jurisdiction US - Federal Organization FINRA / MSRB / Security Exchanges / SIPC / Accountants Sub-Author FINRA