U.S. Bancorp Investments Inc.

02/19/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042542101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: U.S. Bancorp Investments, Inc., Respondent CRD No. 17868 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, U.S. Bancorp Investments, Inc. ("U.S. Bancorp," "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2014042542101data-portal.finra.orgfinra.org

08/22/2025: When determining whether to file Suspicious Activity Reports (SARs), USBI incorrectly used a $25,000 monetary threshold applicable to banks rather than the $5,000 threshold applicable to broker-dealers and, as a result, did not timely file 42 SARs between April 2020 and August 2023. USBI failed to establish and implement policies and procedures reasonably designed to detect and cause the reporting of suspicious transactions in violation of FINRA Rules 3310(a) and 2010. The firm is censured and fined $500,000.

Reference 2023079913301data-portal.finra.orgfinra.org

06/02/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120319458-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: U.S. Bancorp Investments, Inc., Respondent Broker-Dealer CRD No. 17868 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. U.S. Bancorp Investments. Inc. (“Respondent" or the “Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2012031945801data-portal.finra.orgfinra.org

04/20/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046401801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: U.S. Bancorp Investments, Inc., Respondent CRD No. 17868 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, U.S. Bancorp Investments, Inc. ("USBI" or the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2015046401801finra.orgdata-portal.finra.org

03/02/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080130571 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: US Bancorp Investments, Inc. Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, US Bancorp Investments, Inc. ("USBII" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

Reference 2008013057101data-portal.finra.orgfinra.org