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- Clearinghouses Pass CFTC Liquidity Stress Tests
- President Trump Admits He’s Trying to Kill Obamacare. That’s Illegal.
- Trump Plunges Down List of ‘America’s Richest’
- Is Trump’s “Foreclosure King” in Over His Head?
- FBI Arrests NCAA Basketball Coaches and Adidas Rep in Bribery Probe Involving Recruitment
- Equifax CEO Steps Down Amid Hacking Scandal
- Litigation Costs to Rub Salt in RBS Investor Wounds
- RIAs Poised to Land Wirehouse Recruits - Dan Jamieson
- Citibank and U.K. Affiliate to Pay $550K Penalty for Swap Data Reporting Violations - CFTC
- AIG to Restructure into 3 New Units, Marking CEO's First Big Move
- Accounting Firm Deloitte Says It Suffered Cyberattack (subsc reqd)
- Upcoming FINRA Board Meeting and FINRA360 Update
- Elizabeth Warren Lifts Hold on Trump DOJ Antitrust Nominee
- Bigger Mergers Narrow Indy Reps' Options, Alter IBD Channel - Dan Jamieson
- Dentons to Merge with U.K.'s Murray & Spens
- BigLaw Hogan Lovells Announces Hundreds of Buyouts, Layoffs - Almost 500 Affected
- Faith-Based Advisor Censured for Selling Class A Shares to Clergy
- After FINRA Bar, CFP Board Suspends Texas Advisor
- iCapital Network to Acquire U.S. Private Equity Access Fund Platform from Deutsche Bank
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NEWSLETTERS & ALERTS
Piper Jaffray Chair/CEO Gets FINRA Governor Nomination
[Photo: Courtesy of Piper Jaffray
FINRA will conduct a special meeting of large member firms on or about Friday, 5/19/17, to elect one individual to fill a vacant Large Firm Governor seat on the FINRA Board of Governors.
While other candidates may throw their hats in the ring, FINRA has nominated Andrew Duff, Piper Jaffray’s Chairman & CEO, as its candidate. Here’s a brief CV on Mr. Duff:
- Chairman & CEO of Piper Jaffray Companies since 12/31/03.
- Chairman of Piper Jaffray & Co., its primary B/D subsidiary since 2003; CEO since 2000.
- Joined Piper Jaffray in 1980, starting off in institutional fixed income sales.
- During the time period that Piper Jaffray was owned by U.S Bancorp (‘96 –‘03), was President of Piper Jaffray and Vice Chair of U.S. Bancorp for the wealth management group.
- Holds a bachelor’s degree from Tufts; attended the Advanced Executive Program at the Kellogg School of Management at Northwestern.
- Currently sits on boards of SIFMA, American Securities Ass’n, University of St. Thomas, and University of St. Thomas Opus College of Business.
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