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Violation Tracker Individual Record

Company: UBS as successor to Piper Jaffray
Current Parent Company: UBS
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $5,500,000
Year: 2008
Date: June 6, 2008
Offense Group: employment-related offenses
Primary Offense: wage and hour violation
Violation Description: misclassification
Level of Government: federal
Action Type: private litigation
Court: Northern District of California
Civil or Criminal Case: civil
Case ID: 06-cv-5155 and 06-cv-7075
Case Name: Gerry McNerney, et al. v. Piper Jaffray & Co., et al. and Jonathan Chaet v. Piper Jaffray Companies, et al.
Private Lawsuit Resolution Type: settlement
HQ Country of Current Parent: Switzerland
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking & securities
Source of Data: 4-9 Mealey's Litig. Rep. Employ. L. 8 (2008)
Link to PACER Case Docket (must be logged in): (click here)
Link to Archived Court Document:  subscribe to see this data field
Source Notes: 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.