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Violation Tracker Individual Record

Company: Robert W. Baird & Co. Incorporated
Penalty: $500,000
Year: 2015
Date: June 18, 2015
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: The SEC announced enforcement actions against 36 municipal underwriting firms for violations in municipal bond offerings.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.