ERC721

The SEC -- along with the New York Attorney General, the North American Securities Administrators Association, NASD, the New York Stock Exchange and state securities regulators -- announced the completion of enforcement actions against ten of the nation's top investment firms joint investigations of allegations of undue influence of investment banking interests on securities research at brokerage firms. For more info visit https://www.sec.gov/news/press/2003-54.htm

Name

895

Owner

0xc55282073430cD46f53505De4a82Af34D9920EcA

ID#895

Rarity

LO:73%

Parent Company

Piper Sandler

EX:MAX

Company

U.S. Bancorp Piper Jaffray Inc.

EX:MAX

Violation

Securities Violations

HI:18%

Penalty

$32,500,000.00

EX:MAX

Year

2003