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Stories of Interest
- SEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures
- SEC Charges Former Bitcoin Exchange and Its Founder With Fraud
- JPMorgan Chase to Replace NYC Headquarters with 70-Story Skyscraper
- Citigroup Raises CEO Corbat's Pay 48% to $23Mn
- Should Congress Create a Crypto-Cop?
- JPMorgan Weighs Buying an Exchange-Traded Funds Firm
- Hey, Goldman Sachs: Wanna Buy BNY Mellon?
- SEC Order Rejecting Acquisition of Chicago Stock Exchange (CSX) by Chinese-Baesd Company
- Kyle Moffatt Named Chief Accountant in SEC CorpFinance
- SEC Suspends Trading in 3 Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology
- Karen Garnett, Assoc. Director of SEC CorpFinance, to Leave After 23 Years of Service
- Louisiana Adviser Barred for Hiding Losses from Investors
- Connecticut HF Manager Illegally Diverted Investor Money - Now Owes Nearly $13Mn
- White House Cleaning House of Advisors Without Full Security Clearance
- Goldman Projects 30% Growth in Wealth Management Advisor Force
- Whistleblower Alleges Manipulation of CBOE Volatility Index
- FINRA Looking Into VIX (CBOE Volatility Index) Manipulation: WSJ
- Atlanta-Area Resident Charged with Misusing Investor Funds - SEC
- FINRA Announces 2018 West Region Networking Seminar
- Alberto Arevalo, Associate Director in Office of International Affairs, to Retire From SEC
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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.