Defendant Name:
U.S. Bancorp Piper Jaffray, Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
U.S. Bancorp
SIC Code:
6021
CUSIP:
90297330
Initial Case Details
Legal Case Name
SEC v. U.S. Bancorp Piper Jaffray, Inc.
First Document Date
28-Apr-2003
Initial Filing Format
Civil Proceeding
Case Number
03-cv-02942
Allegation Type
Investment Advisers/Investment Companies
Federal District Court
New York, Southern District of New York
Violations Alleged
•
Section 17(b) Securities Act; Rules 2110, 2210(d)(1), 2210(d)(2), 3010 Conduct Rules of NASD; Rules 342, 401, 472, 476(a)(6) NYSE
Resolutions
First Resolution Date
28-Apr-2003