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Stories of Interest
- FINRA RegNote 17-40: AML/KYC Requirements Under FINRA Rule 3310
- Trump defends Roy Moore: 'He totally denies it'
- Barclays CEO Staley's New Investment Banking Strategy Falters
- FIFO: Senate Plan Lets Mutual Funds Skip A Tax Change That Hurts Individual Investors
- FINRA Introduces New Functionality and Design to Fund Analyzer
- Oyster Bay, NY, and Former Top Official Charged with Defrauding Muni Investors
- State Street Challenging BNY Mellon As Largest Custody Bank
- Changes to FINRA Advisory Committees: Phase 1
- SEC Approves CAT Fee Dispute Resolution Process
- Boston-Area Consultant & Friend Settle SEC Insider Trading Charges
- SEC Chair Clayton: Statement on Status of the Consolidated Audit Trail ('CAT')
- Goldman to Launch $5bn Fund with China Investment Corp.
- Wells Fargo Launches Robo-Adviser Targeting Millenial Investors
- Barclays Fails to End U.S. 'Dark Pool' Class Action
- Goldman Sachs' Chief Risk Officer, Craig Broderick, to Retire
- Time to Renew FINRA Registrations - B/D, IA, Agent, IA Rep, Branches
- New Jersey’s Next Governor Could Be a Democrat Who Worked at Goldman Sachs
- FINRA New York Region Networking Seminar - December 1st
- SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers
- Hedge Fund Giant Paul Singer Targeted for Destruction by Steve Bannon
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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.