Violation Tracker Individual Record
: US Bancorp Investments, Inc.
Current Parent Company
: U.S. Bancorp
Parent at the Time of the Penalty AnnouncementPenalty
to see this data field
: April 22, 2010
: financial offenses
: investor protection violation
: The Financial Industry Regulatory Authority settled charges with two firms relating to the sale of auction rate securities (ARS) that became illiquid when auctions froze in February 2008.
Level of Government
: agency action
: Financial Industry Regulatory Authority
Civil or Criminal Case
HQ Country of Current Parent
HQ State of Current Parent
Ownership Structure of Current Parent
: publicly traded
Major Industry of Current Parent
: financial services
Specific Industry of Current Parent
Source of Data
: (click here)
: FINRA is a securities industry self-regulatory body authorized by the federal government.
: 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