Violation Tracker Parent Company Summary

Parent Company Name: 
Piper Jaffray
Ownership Structure: 
publicly traded (ticker symbol PJC)
Headquartered in: 
Minnesota
Major Industry: 
financial services
Specific Industry: 
investment management
Penalty total since 2000: 
$38,736,454
Number of records: 
17
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$37,086,45416
miscellaneous offenses$1,650,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$37,081,45415
data submission deficiencies$1,650,0001
financial institution supervision failures$5,0001
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.

Associated Names: 

BMO CAPITAL MARKETS GKST; Piper Jaffray & Co.; US BANCORP PIPER JAFFRAY


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
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Company Primary Offense Type Year Agency Penalty Amountsort icon
U.S. Bancorp Piper Jaffray Inc. financial institution supervision failures 2002 NE-DBF $5,000
Piper Jaffray & Co. investor protection violation 2004 ND-SEC $17,000
Piper Jaffray & Co. investor protection violation 2006 ND-SEC $17,204
Piper Jaffray & Co. investor protection violation 2004 ND-SEC $20,000
US Bancorp Piper Jaffray Inc. investor protection violation 2001 ND-SEC $23,250
Piper Jaffray & Co. investor protection violation 2005 ND-SEC $30,000
U.S. Bancorp Piper Jaffray Inc. investor protection violation 2002 SEC $100,000
Piper Jaffray & Co. investor protection violation 2006 SEC $125,000
Piper Jaffray & Co. investor protection violation 2006 ND-SEC $229,000
BMO Capital Markets GKST Inc. investor protection violation 2015 SEC $250,000
Piper Jaffray & Co. investor protection violation 2013 SEC $300,000
Piper Jaffray & Co. investor protection violation 2006 MT-SEC $345,000
Piper Jaffray & Co. investor protection violation 2015 SEC $500,000
U.S. Bancorp Piper Jaffray Inc. data submission deficiencies 2002 SEC $1,650,000
U.S. Bancorp Piper Jaffray Inc. investor protection violation 2003 MT-SEC $2,625,000
U.S. Bancorp Piper Jaffray Inc. investor protection violation 2003 MULTI-FIN (*) $12,500,000
U.S. Bancorp Piper Jaffray Inc. investor protection violation 2003 SEC $32,500,000
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