Violation Tracker Individual Record

Company: 
U.S. Bancorp Investments, Inc.
Current Parent Company: 
U.S. Bancorp
Penalty: 
$15,992,441
Year: 
2020
Date: 
June 1, 2020
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

breaches of fiduciary duties

Level of Government: 
federal
Action Type: 
agency action
Agency: 
Securities and Exchange Commission
Civil or Criminal Case: 
civil
HQ Country of Parent: 
USA
HQ State of Parent: 
Minnesota
Ownership Structure of Parent: 
publicly traded
Major Industry of Parent: 
financial services
Specific Industry of Parent: 
banking
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.