TITLE

Piper Jaffray Triggers G-37 Ban

AUTHOR(S)
Hume, Lynn
PUB. DATE
June 2006
SOURCE
Bond Buyer;6/20/2006, Vol. 356 Issue 32406, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article reports that Piper Jaffray & Co. is prohibited from doing any negotiated municipal securities business with its home state of Minnesota until April 19, 2007. An overview of the company's violations was discussed. The company emphasized that their procedures were deficient because the company had no back-up plan or follow-up procedures to make sure that the reviews of political contribution forms by the head of public finance were accurate and complete.
ACCESSION #
21319307

 

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