Kara Brockmeyer, Andrew Ceresney, Charu Chandrasekhar, Arian June and Jonathan Tuttle

Debevoise Discusses SEC Whistleblower Action Over Retail Client Agreements

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On January 16, 2024, the Securities and Exchange Commission announced a settled enforcement action against JP Morgan Securities, LLC (“JPMS”) for violating Rule 21F-17(a) of the Securities Exchange Act of 1934.[1] Like other recent 21F-17(a) cases brought by the …