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Stories of Interest
- SEC Charges Additional Defendant in Fraudulent ICO Scheme
- Warren Buffett Simply Blew it on Wells Fargo Stock: Dick Bove (Video)
- Barclays and Deutsche Bank to Lag U.S. Trading Peers
- NY AG Schneiderman Seeks to Close Loophole That Could Let Trump Pardons Block State Charges
- 'Fearless Girl' is Moving to NYSE After Year Staring Down 'Charging Bull'
- What's In Your Wallet - American Express Shares Soar After Earnings Release
- Deutsche Bank's Executive Departures Continue Following Change in CEO
- Reflections of an Economist Commissioner (SEC's Piwowar)
- Billionaire HF Manager and The Fed Chair Runner-Up are Investing in New Cryptocurrency
- Court Finds 2 Brokers Liable for Fraud Involving Mortgage-Backed Securities
- One FINRA: An Organization’s Commitment to Diversity and Inclusion
- 2018 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
- Barclays Eyes Move Into Cryptocurrency Trading
- Goldman Breaks From Wall Street Pack with Bond-Trading Boom
- Janney Montgomery Scott CEO Joins FINRA Board of Governors
- SEC Encourages Investors to Do Background Checks on Investor.gov
- The Martin Act: Wall Street Titan Takes Aim at Law That Tripped Him Up
- Bank of America’s Cost-Cutting Drive Pushes Profit to Record
- Larry Fink: Wall Street’s $6 Trillion Man Finally Worth $1Bn
- Activist Investor Wants Barclays Investment Banking Overhaul (Video)
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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!