ERC721

The Financial Industry Regulatory Authority ordered Chase Investment Services Corporation to reimburse customers more than $1.9 million for losses incurred from recommending unsuitable sales of unit investment trusts (uits) and floating rate loan funds. FINRA also fined Chase $1.7 million. For more info visit https://www.finra.org/media-center/news-releases/2011/finra-orders-chase-reimburse-customers-19-million-unsuitable-sales-uits

Name

79

Owner

0x32613943243860edd1A054283ca8a48c2A82eC41

ID#79

Rarity

LO:53%

Parent Company

JPMorgan Chase

X-HI:7%

Company

Chase Investment Services Corporation

EX:MAX

Violation

Financial Market Violations

X-HI:14%

Penalty

$3,600,000.00

EX:MAX

Year

2011