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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 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.
Remember to vote early and often!