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Articles Posted in Piper Jaffray

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FINRA Fines Piper Jaffray $700,000 for E-mail Retention Issues and Other Violations

The Financial Industry Regulatory Authority is fining Piper Jaffray & Co. $700,000 for violations related to the investment bank’s alleged failure to maintain about 4.3 million emails from November 2002 through December 2008 and for neglecting to tell FINRA about the issues it was having with email retention and retrieval.…

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FINRA Bars Former Piper Jaffray & Co. Broker from Industry for Insider Trading

The Financial Industry Regulatory Authority is barring a former Piper Jaffray & Co. broker from the securities industry. The broker was accused of insider trading. He has agreed to the ban and has settled the FINRA charges without denying or admitting wrongdoing. From 2007 until this July, the broker worked…

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