Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: First Republic Investment Management, Inc.
Current Parent CompanyFirst Republic Bank
Parent at the Time of the Penalty Announcement subscribe to see this data field
Penalty: $1,825,953
Year: 2022
Date: May 19, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: California
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking
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.