Tampered Account Documents: Will Regulators hold JP Morgan Securities Accountable?

A frustrated JP Morgan Securities’ (JPMS) customer completed and submitted a Transfer Initiation Form (TIF) to transfer her full investment account out of JPMS. JPMS approved the transfer and was obligated to faithfully transfer her full account electronically using the Automated Customer Account Transfer Service (ACATS).  During the same time, the customer noticed ‘unauthorized trading’ in her self-directed … Continue reading Tampered Account Documents: Will Regulators hold JP Morgan Securities Accountable?