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Violation Tracker Individual Record

Company: Waddell & Reed, Inc.
Current Parent Company: Macquarie
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Recap of Ownership Changes:  subscribe to see this data field
Penalty: $8,800
Year: 2003
Date: February 19, 2003
Offense Group: financial offenses
Primary Offense: investor protection violation
Level of Government: state
Action Type: agency action
Agency: Florida Office of Financial Regulation
Civil or Criminal Case: civil
Case ID: 3487-S-6/02
Facility State: Florida
HQ Country of Current Parent: Australia
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
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.