Basic Search  |  Summaries  |  Advanced Search

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$43,674,454
Number of records: 25
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$42,024,45424
miscellaneous offenses$1,650,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$42,024,45424
data submission deficiencies$1,650,0001
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.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon
U.S. Bancorp Piper Jaffray Inc.investor protection violation2002NE-DBF$5,000
Piper Jaffray & Co.investor protection violation2004ND-SEC$17,000
Piper Jaffray & Co.investor protection violation2006ND-SEC$17,204
Piper Jaffray & Co.investor protection violation2004ND-SEC$20,000
US Bancorp Piper Jaffray Inc.investor protection violation2001ND-SEC$23,250
Piper Jaffray & Co.investor protection violation2005ND-SEC$30,000
U.S. Bancorp Piper Jaffray Inc.investor protection violation2002SEC$100,000
Piper Jaffray & Co.investor protection violation2008FINRA$100,000
Piper Jaffray & Co.investor protection violation2006SEC$125,000
Piper Jaffray & Co.investor protection violation2006ND-SEC$229,000
BMO Capital Markets GKST Inc.investor protection violation2015SEC$250,000
U.S. Bancorp Piper Jaffrayinvestor protection violation2002FINRA$250,000
Piper Jaffray & Co.investor protection violation2005FINRA$275,000
Piper Jaffray & Co.investor protection violation2005FINRA$280,000
Piper Jaffray & Co.investor protection violation2013SEC$300,000
Piper Jaffray & Co.investor protection violation2006MT-SEC$345,000
Piper Jaffray & Co.investor protection violation2015SEC$500,000
Piper Jaffray & Co.investor protection violation2010FINRA$700,000
Piper Jaffray Inc.investor protection violation2000FINRA$933,000
U.S. Bancorp Piper Jaffray Inc.data submission deficiencies2002SEC$1,650,000
U.S. Bancorp Piper Jaffray Inc.investor protection violation2002FINRA(*)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 & Co.investor protection violation2004FINRA$2,400,000
U.S. Bancorp Piper Jaffray Inc.investor protection violation2003MT-SEC$2,625,000
U.S. Bancorp Piper Jaffray Inc.investor protection violation2003MULTI-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
U.S. Bancorp Piper Jaffray Inc.investor protection violation2003SEC$32,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.