Violation Tracker Individual Record
: Kemper Distributors, Inc.
Current Parent Company
Parent at the Time of the Penalty AnnouncementPenalty
to see this data field
: May 16, 2000
: financial offenses
: investor protection violation
: NASD Regulation, Inc., announced a settlement in which it censured and fined Kemper Distributors, Inc., $100,000 for running inaccurate mutual fund advertisements and for violating other NASD advertising-related rules.
Level of Government
: agency action
: Financial Industry Regulatory Authority
Civil or Criminal Case
HQ Country of Current Parent
HQ State of Current Parent
Ownership Structure of Current Parent
: publicly traded
Major Industry of Current Parent
: financial services
Specific Industry of Current Parent
Source of Data
: (click here)
: FINRA is a securities industry self-regulatory body authorized by the federal government. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).
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Current parent company note
: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log