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Stories of Interest
- I Owned Bitcoin For a Weekend and Here's What I Learned
- SEC Appoints New Chair and Board Members to PCAOB
- FINRA, Georgetown Team Up to Deliver 'Certified Regulatory and Compliance Professional' Program
- FINRA Board Meeting - This Week's Agenda
- Statement on Cryptocurrencies and Initial Coin Offerings - SEC Chair Clayton
- Company Halts Initial Coin Offering Over SEC Registration Concerns
- Kevin O'Leary Explains One Big Thing People Don't Understand About Bitcoin (But Need To)
- CME Bitcoin Futures: A Better Way to Buy (or Short) Bitcoin?
- Address at ICI's 2017 Securities Law Developments Conference - SEC Commissioner Stein
- New York Pension Fund Seeks More Pay Disclosure from Wells Fargo
- Wells Fargo Sanctions Are on Ice Under Trump Official
- Josh Brown: Here's How to Buy Bitcoin, But Realize It Could Be One Giant Bubble
- Trump's New Tax Plan Could Cost Citigroup $20 Billion
- Morgan Stanley Fires Former Congressman Harold Ford Jr.
- Al Franken Will Resign Over Sexual Misconduct Allegations - His Full Resignation Speech
- Ex-NFL Player Gets 40 Years for Running $10Mn Fraud
- Bitcoin Blows Past $15K, Adding $2K in Under 12 Hours
- Financial Adviser Settles Charges for Defrauding Private Equity Fund Investors
- New Cross Market Equity Supervision Report Cards - FINRA Phone-In Workshop, WebEx Presentation
- Mueller Just Crossed Trump's Red Line, With Deutsche Bank Subpoena
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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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