Violation Tracker Individual Record
NASD fined Quick & Reilly, Inc. $570,000 and Piper Jaffray & Co. $275,000 for directed brokerage violations.
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).