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Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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NEWSLETTERS & ALERTS
Piper Chair/CEO Nears Election to FINRA Board of Governors
This Friday, 5/19, FINRA will hold a special meeting of large firms to elect one Large Firm Governor to the FINRA Board of Governors. The FINRA Nominating Committee nominated Andrew Duff, Chairman and CEO of Piper Jaffray, and he will run unopposed unless other names were submitted.
ANDREW DUFF. Mr. Duff is Chair and CEO of Piper Jaffray Companies, a position he has held since the completion of its spin-off from U.S. Bancorp on 12/31/03. He has also served as chairman of Piper Jaffray & Co., its primary broker-dealer subsidiary since 2003, and as CEO since 2000.
- Mr. Duff has been at Piper Jaffray since 1980, when he joined the institutional fixed income sales department.
- He was later promoted to manager of institutional sales and trading in 1994.
- He then served as president of the individual investor services and capital markets areas until 1996
- He also has served as president of Piper Jaffray and vice chair of U.S. Bancorp for the wealth management group (while it was owned by U.S. Bancorp, from 1996 to 2003)
Mr. Duff previously served on the SIFMA board of directors and the board of directors of the American Securities Association.