Violation Tracker Individual Record
Company:
U.S. Bancorp Piper Jaffray Inc.
Current Parent Company:
Piper Sandler
Penalty:
$5,000
Year:
2002
Date:
May 20, 2002
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Secondary Offense:
financial institution supervision failures
Level of Government:
state
Action Type:
agency action
Agency:
Nebraska Department of Banking & Finance
Civil or Criminal Case:
civil
Facility State:
Nebraska
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:
investment management
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.
