Search for: "Piper Jaffray & Co."
Results 1 - 20
of 33
Sorted by Relevance
|
Sort by Date
25 May 2010, 5:47 am
Investment firm Piper Jaffray & Co. has been fined $700,000 by the Financial Industry Regulatory Authority (FINRA) for email retention violations, related disclosure issues and supervisory and reporting violations. [read post]
9 Oct 2009, 12:05 pm
O'Neill and Piper Jaffray & Co. [read post]
24 May 2010, 1:12 pm
FINRA has fined Piper Jaffray & Co. $700,000 for violations related to its failure to retain approximately 4.3 million emails from November 2002 through December 2008. [read post]
19 Jun 2013, 5:25 am
Investment bank and asset management firm Piper Jaffray Cos. is buying middle-market advisory firm Edgeview Partners LP. [read post]
27 May 2008, 12:52 pm
Court of Appeals for the Eighth Circuit refused to hear an interloculatory appeal regarding attorney-client privilege related to the lawsuit accusing Piper Jaffray & Co of giving faulty advice in two bond offerings. [read post]
7 Jun 2010, 7:22 pm
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. [read post]
25 Nov 2009, 5:28 pm
From 2007 until this July, Uppal worked in Piper Jaffray & Co. [read post]
25 May 2010, 7:59 am
On May 11, 2010, Piper Jaffray & Co. [read post]
14 May 2018, 2:02 pm
” Jefferies LLC, Piper Jaffray & Co. and Guggenheim Securities served as the lead underwriters. [read post]
16 Aug 2019, 8:00 am
defeated incumbent Large Member Firm Governor and FINRA Nominating Committee candidate Andrew Duff of FINRA Member Firm Piper Jaffray & Co. [read post]
16 Aug 2019, 8:00 am
defeated incumbent Large Member Firm Governor and FINRA Nominating Committee candidate Andrew Duff of FINRA Member Firm Piper Jaffray & Co. [read post]
3 Feb 2009, 5:57 am
Defendants include, but are not limited to, Merrill Lynch & Co., Inc., Morgan Stanley, JP Morgan Chase & Co., Bear Stearns & Co., Inc., AIG Financial Products Corp., UBS AG, and Piper Jaffray & Co. [read post]
24 Sep 2019, 7:51 am
Zynerba Public Offerings Zynerba held its initial public offering in 2015, with Jefferies LLC and Piper Jaffray & Co. as joint book-running managers, and Cannacord Genuity Inc. and Oppenheimer & Co. [read post]
8 Apr 2008, 12:05 pm
Edwards & Sons; Morgan Keegan & Company; Piper Jaffray & Co.; SunTrust Capital Markets; and Wachovia Capital Markets. [read post]
12 Aug 2015, 9:08 am
– $400,000 Piper Jaffray & Co. [read post]
25 Sep 2009, 7:54 am
Defendants include, but are not limited to, Merrill Lynch & Co., Inc., Morgan Stanley, JP Morgan Chase & Co., Bear Stearns & Co., Inc., AIG Financial Products Corp., UBS AG, and Piper Jaffray & Co. [read post]
11 Feb 2008, 4:30 am
Piper Jaffray & Co. [read post]
11 Feb 2008, 4:30 am
Piper Jaffray & Co. [read post]
15 Apr 2010, 7:35 pm
MedQuist was represented by Lazard, Piper Jaffray & Co., and Wachtell, Lipton, Rosen & Katz. [read post]
13 Jul 2018, 7:17 am
From January 2003 to June 2006, James was registered with Piper Jaffray & Co. [read post]
