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Piper Jaffray Chair/CEO Gets FINRA Governor Nomination

March 31, 2017

[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!