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 Pages Tagged With: "Investor Protection"

J.P. Morgan Securities to pay $51,400 to Biden’s Investor Protection Unit

Attorney General Beau Biden announced Thursday that J.P. Morgan Securities has paid the Delaware Department of Justice $51,400 as a result of a settlement with the Attorney General’s Investor Protection Unit. The settlement resolves a multi-state investigation which found that J.P. Morgan Securities failed to ensure that its agents were properly registered in Delaware and other states, and failed to properly record data on trades executed in Delaware and other states.




Biden Secures Millions More For Delaware

Delaware Attorney General Beau Biden announced Monday that Citigroup Inc. will pay at least than $17 million to Delaware to settle allegations stemming from the bank’s conduct that helped cause the housing crisis.




Delaware DOJ’s Investor Protection Unit Secures Indictment Against New Jersey Man

Attorney General Beau Biden today announced that the Delaware Department of Justice Investor Protection Unit has obtained an indictment charging Michael A. Kwasnik with theft, securities fraud, sale of unregistered securities, and acting as an unregistered broker dealer following its investigation of a scheme to defraud investors. Kwasnik, age 45, of Marlton, New Jersey, was indicted March 17, by the New Castle County Grand Jury.




Biden Secures Nearly $20 Million for Delaware

In the latest effort by his office to hold accountable those responsible for the mortgage foreclosure crisis, Delaware Attorney General Beau Biden announced that JPMorgan Chase will pay $19.7 million to settle allegations stemming from conduct that helped cause the greatest economic downturn since the Great Depression.




Attorney General Beau Biden settles with RBC Capital Markets Regarding Unlicensed Securities Salespeople

Attorney General Beau Biden announced today that RBC Capital Markets, LLC has paid the Delaware Department of Justice $33,520.17 as part of a settlement with the Attorney General’s Investor Protection Unit.







 Pages Tagged With: "Investor Protection"

J.P. Morgan Securities to pay $51,400 to Biden’s Investor Protection Unit

Attorney General Beau Biden announced Thursday that J.P. Morgan Securities has paid the Delaware Department of Justice $51,400 as a result of a settlement with the Attorney General’s Investor Protection Unit. The settlement resolves a multi-state investigation which found that J.P. Morgan Securities failed to ensure that its agents were properly registered in Delaware and other states, and failed to properly record data on trades executed in Delaware and other states.




Biden Secures Millions More For Delaware

Delaware Attorney General Beau Biden announced Monday that Citigroup Inc. will pay at least than $17 million to Delaware to settle allegations stemming from the bank’s conduct that helped cause the housing crisis.




Delaware DOJ’s Investor Protection Unit Secures Indictment Against New Jersey Man

Attorney General Beau Biden today announced that the Delaware Department of Justice Investor Protection Unit has obtained an indictment charging Michael A. Kwasnik with theft, securities fraud, sale of unregistered securities, and acting as an unregistered broker dealer following its investigation of a scheme to defraud investors. Kwasnik, age 45, of Marlton, New Jersey, was indicted March 17, by the New Castle County Grand Jury.




Biden Secures Nearly $20 Million for Delaware

In the latest effort by his office to hold accountable those responsible for the mortgage foreclosure crisis, Delaware Attorney General Beau Biden announced that JPMorgan Chase will pay $19.7 million to settle allegations stemming from conduct that helped cause the greatest economic downturn since the Great Depression.




Attorney General Beau Biden settles with RBC Capital Markets Regarding Unlicensed Securities Salespeople

Attorney General Beau Biden announced today that RBC Capital Markets, LLC has paid the Delaware Department of Justice $33,520.17 as part of a settlement with the Attorney General’s Investor Protection Unit.