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Advanced SearchViolation Tracker Individual Record
Company: Janney Montgomery Scott LLC
Current Parent Company:
Penn Mutual
Parent at the Time of the Penalty Announcement:
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Penalty: $10,250
Year: 2006
Date: December 21, 2006
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: employment of an unlicensed investment adviser
Level of Government: state
Action Type: agency action
Agency: Rhode Island Department of Business Regulation
Civil or Criminal Case: civil
Facility State: Rhode Island
HQ Country of Current Parent: USA
HQ State of Current Parent: Pennsylvania
Ownership Structure of Current Parent: mutual
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: insurance and investment management
Source of Data:
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the
Update Log.