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FINRA Fines JPMorgan Unit $3.25M Over Red Flag Lapses

By Sarah Jarvis ( April 7, 2026, 10:03 PM EDT) -- A JPMorgan Chase & Co. subsidiary has agreed to pay a $3.25 million fine to end Financial Industry Regulatory Authority claims that it failed to take action on red flags raised over a registered representative's inappropriate and risky investment strategy recommendations that preceded significant customer losses....

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