Violation Tracker Individual Record
: Piper Jaffray & Co.
Current Parent Company
: Piper Sandler
Parent at the Time of the Penalty AnnouncementPenalty
to see this data field
: February 22, 2005
: financial offenses
: investor protection violation
: financial institution supervision failures
: NASD fined Quick & Reilly, Inc. $570,000 and Piper Jaffray & Co. $275,000 for directed brokerage violations.
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
: investment management
Source of Data
: NASD Fines Quick & Reilly, Piper Jaffray $845,000 for Directed Brokerage Violations, PR Newswire, February 22, 2005 (via Nexis).
: 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).
: 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