Violation Tracker Individual Record
: Zions Direct, Inc.
Current Parent Company
: Zions Bancorporation
Parent at the Time of the Penalty AnnouncementPenalty
to see this data field
: August 25, 2010
: financial offenses
: investor protection violation
: The Financial Industry Regulatory Authority fined Zions Direct, Inc. $225,000 for failing to disclose the potential conflict of interest created by the participation of its affiliate, Liquid Asset Management, in online CD auctions conducted by Zions involving certificates of deposit issued by Zions-affiliated banks.
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)
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Current parent company note
: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log