Compliance Radar
Who was sanctioned, and for what?
Fines, court rulings and incidents from Europe and North America: 756 cases from 32 jurisdictions, each with an official source and checked against that source before publication. Filter by country, area of law and sector. Click a chart to drill down one level.
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per quarter, by date of decision| Period | Cases | Total |
|---|---|---|
| Q3 2023 | 0 | — |
| Q4 2023 | 0 | — |
| Q1 2024 | 1 | €16.5m |
| Q2 2024 | 0 | — |
| Q3 2024 | 0 | — |
| Q4 2024 | 0 | — |
| Q1 2025 | 0 | — |
| Q2 2025 | 0 | — |
| Q3 2025 | 0 | — |
| Q4 2025 | 0 | — |
| Q1 2026 | 0 | — |
| Q2 2026 | 0 | — |
| Q3 2026 | 0 | — |
1 case
16 Jan 2024 J.P. Morgan Securities LLCSEC: J.P. Morgan Securities pays 18 million US dollars over gagging clauses in client settlements €16.5m
From March 2020 to July 2023, JPMS had hundreds of retail clients who received credits or settlement payments of more than 1,000 US dollars sign confidentiality agreements that permitted responses to SEC enquiries but prohibited voluntary contact with the SEC. The U.S. Securities and Exchange Commission (SEC) imposed 18 million US dollars.
Confidentiality clauses with clients must not exclude voluntary reporting to supervisory authorities either.
Whistleblower protection in settlement and confidentiality agreements
- Authority / court
- U.S. Securities and Exchange Commission
- Area of law
- Whistleblower protection · Retaliation against whistleblowers
- Legal basis
- Securities Exchange Act of 1934, Rule 21F-17(a)
- Action
- Fine
- Status of proceedings
- final
- Sector
- Financial services and insurance
- Employees
- 10,000 or more
- Published
- 16 Jan 2024
Original amount 18,000,000 USD, converted at the ECB reference rate of 16 Jan 2024.
- J.P. Morgan to Pay $18 Million for Violating Whistleblower Protection Rule Press release of an authority
Checked against the official source on 25 Sep 2026 · Direct link