FINRA hits J.P. Morgan, Ameriprise with penalties linked to supervision of sales of products
April 14, 2026 by Bruce Kelly
As it continues to face scrutiny over its penalties of broker-dealers and its overall role as a regulator, FINRA in the past few days has issued significant penalties against industry leading broker-dealers, J.P. Morgan Securities and Ameriprise Financial Services, stemming from supervisory issues of brokers and products.
The two firms are among the most prominent in the retail securities industry and financial advice market today
Originally Posted at InvestmentNews on April 7, 2026 by Bruce Kelly.
Categories: Industry Articles
