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Violation Tracker Current Parent Company Summary
Current Parent Company Name: Piper Sandler
Ownership Structure: publicly traded (ticker symbol PIPR)
Headquartered in: Minnesota
Major Industry: financial services
Specific Industry: investment management
Penalty total since 2000: $53,424,454
Number of records: 26
| Top 5 Offense Groups (Groups Defined) | Penalty Total | Number of Records |
| financial offenses | $42,024,454 | 24 |
| competition-related offenses | $9,750,000 | 1 |
| miscellaneous offenses | $1,650,000 | 1 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
| investor protection violation | $42,024,454 | 24 |
| price-fixing or anti-competitive practices | $9,750,000 | 1 |
| data submission deficiencies | $1,650,000 | 1 |
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the
Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.
Individual Penalty Records:
Click on the company or penalty amount for more information on each case.
| Company | Primary Offense Type | Year | Agency | Penalty Amount  |
| U.S. Bancorp Piper Jaffray Inc. | investor protection violation | 2003 | SEC | $32,500,000 |
| U.S. Bancorp Piper Jaffray Inc. | investor protection violation | 2003 | MULTI-FIN | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $12,500,000 |
| Piper Jaffray & Co. | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $9,750,000 |
| U.S. Bancorp Piper Jaffray Inc. | investor protection violation | 2003 | MT-FIN | $2,625,000 |
| Piper Jaffray & Co. | investor protection violation | 2004 | FINRA | $2,400,000 |
| U.S. Bancorp Piper Jaffray Inc. | data submission deficiencies | 2002 | SEC | $1,650,000 |
| U.S. Bancorp Piper Jaffray Inc. | investor protection violation | 2002 | FINRA | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000 |
| Piper Jaffray Inc. | investor protection violation | 2000 | FINRA | $933,000 |
| Piper Jaffray & Co. | investor protection violation | 2010 | FINRA | $700,000 |
| Piper Jaffray & Co. | investor protection violation | 2015 | SEC | $500,000 |
| Piper Jaffray & Co. | investor protection violation | 2006 | MT-FIN | $345,000 |
| Piper Jaffray & Co. | investor protection violation | 2013 | SEC | $300,000 |
| Piper Jaffray & Co. | investor protection violation | 2005 | FINRA | $280,000 |
| Piper Jaffray & Co. | investor protection violation | 2005 | FINRA | $275,000 |
| BMO Capital Markets GKST Inc. | investor protection violation | 2015 | SEC | $250,000 |
| U.S. Bancorp Piper Jaffray | investor protection violation | 2002 | FINRA | $250,000 |
| Piper Jaffray & Co. | investor protection violation | 2006 | ND-SEC | $229,000 |
| Piper Jaffray & Co. | investor protection violation | 2006 | SEC | $125,000 |
| U.S. Bancorp Piper Jaffray Inc. | investor protection violation | 2002 | SEC | $100,000 |
| Piper Jaffray & Co. | investor protection violation | 2008 | FINRA | $100,000 |
| Piper Jaffray & Co. | investor protection violation | 2005 | ND-SEC | $30,000 |
| US Bancorp Piper Jaffray Inc. | investor protection violation | 2001 | ND-SEC | $23,250 |
| Piper Jaffray & Co. | investor protection violation | 2004 | ND-SEC | $20,000 |
| Piper Jaffray & Co. | investor protection violation | 2006 | ND-SEC | $17,204 |
| Piper Jaffray & Co. | investor protection violation | 2004 | ND-SEC | $17,000 |
| U.S. Bancorp Piper Jaffray Inc. | investor protection violation | 2002 | NE-DBF | $5,000 |
