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Violation Tracker Individual Record

Company: Thomas Weisel Partners LLC
Current Parent CompanyStifel Financial
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Penalty: $12,500,000
Year: 2004
Date: August 26, 2004
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The SEC, the North American Securities Administrators Association, NASD Inc., the New York Stock Exchange and state securities regulators announced that Thomas Weisel Partners LLC would pay $12.5 million to settle allegations that its investment banking interests had undue influence on its securities research.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: Missouri
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.