Violation Tracker Individual Record
Company:Piper Jaffray & Co.
Date:May 31, 2006
Offense Group:financial offenses
Primary Offense:investor protection violation
The Securities and Exchange Commission announced the settlement of proceedings against 15 broker-dealer firms for engaging in violative practices in the auction rate securities market.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:Minnesota
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:investment management
Source of Data:
Source Notes:If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.