Violation Tracker Individual Record
Company:
Robert W. Baird & Co. Incorporated
Penalty:
$500,000
Year:
2015
Date:
June 18, 2015
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Secondary Offense:
securities issuance or trading violation
Violation Description:
The SEC announced enforcement actions against 36 municipal underwriting firms for violations in municipal bond offerings.
Level of Government:
federal
Action Type:
agency action
Agency:
Securities and Exchange Commission
Civil or Criminal Case:
civil
Source of Data:
Source Notes:
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.
