Piper Jaffray & Co.

• Optimal Opportunities

  By Ed McCarthy, CFP  |  February 22, 2013

  While Actavis (ACT) narrowed its 2013 guidance expectations in the wake of an unexpected Concerta approval, the company is still poised to post close to 30% EPS growth and potentially double-digit annual EPS growth through 2016.

• SIFMA Elects New Officers to Municipal Securities Division

  By Melanie Waddell, AdvisorOne  |  November 2, 2012

  Stratford Shields of Morgan Stanley & Co. will serve as division chair, and Frank Fairman of Piper Jaffray & Co. and David Stephens of Bank of America Merrill Lynch & Co. will serve as vice chairs.

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  New Hire Roundup: Aberdeen Adds NYC Office

  By Marlene Y. Satter, AdvisorOne  |  October 17, 2012

  This week in new hires, MFS Investment Management welcomed Philip Stewart and promoted David Bryant; Leslie Voth was named CEO at Pitcairn; and Michael Millman joined U.S. Bank’s Private Client Reserve in San Francisco.

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  SEC, FINRA, DOL Enforcement Roundup: Investment Advice From the Heavens

  By Marlene Y. Satter, AdvisorOne  |  June 21, 2012

  Recent enforcement actions included an astrology-based Ponzi scheme, along with fines for Morgan Keegan, Edward Jones and Janney Montgomery Scott.

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  New Hires Roundup: U.S. Bank Adds Steiger; CAIS Welcomes Stone, Promotes Cobon

  By Marlene Y. Satter, AdvisorOne  |  September 22, 2011

  This week in new hires, Heidi Steiger added to U.S. Bank’s wealth management business; Landon Stone went to CAIS, which also promoted Lachlan Cobon.

• FINRA Fines Piper Jaffray $700,000 for E-mail Infractions

  By Melanie Waddell, AdvisorOne  |  May 26, 2010

  The Financial Industry Regulatory Authority (FINRA) recently fined Piper Jaffray & Co. $700,000 for violations related to its failure to retain approximately 4.3 million e-mail messages.

• News & Products

  By Staff Writer  |  July 1, 2006

  The Securities and Exchange Commission announced on May 31 the institution of proceedings against 15 broker/dealer firms for engaging in violative practices in the $200...