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BRIEF-FINRA fines JPMorgan Securities $1.25 mln for improper employee screening
November 21, 2017 / 3:27 PM / a month ago

BRIEF-FINRA fines JPMorgan Securities $1.25 mln for improper employee screening

Nov 21 (Reuters) - Finra says it fines jpmorgan securities $1.25 million for failing to appropriately fingerprint or screen its employees Finra says jpmorgan securiites failed to conduct timely or adequate background checks on about 8,600, or 95 percent, of its non-registered associates from january 2009 to may 2017 Finra says jpmorgan securities failed to properly screen for felony convictions, regulatory disciplinary actions Finra says jpmorgan securities neither admitted nor denied the charges, and was credited for cooperating and addressing the violations

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