MutualFundWire.com
The insiders' edge for 40 Act industry executives!
an InvestmentWires' Publication
an InvestmentWires' Publication
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|
MutualFundWire.com
The insiders' edge for 40 Act industry executives!
an InvestmentWires' Publication |
|
Wednesday, June 26, 2002 Piper Jaffray Fined The National Association of Securities Dealers, a regulatory arm of the Nasdaq, has fined U.S. Bancorp Piper Jaffray $300,000. Also fined was one of its managing directors Scott Beardsley. The case began when the firm allegedly threatened to cease analyst coverage of a biotech company when that company decided not to hire the firm as its investment banker, according to an article in The Washington Post. The agreement settles charges against the firm and the manager. Printed from: MFWire.com/story.asp?s=2954 Copyright 2002, InvestmentWires, Inc. All Rights Reserved |