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: Securities Law Prof Blog

FINRA Fines Piper Jaffray Again for Email Retention Failures

By Securites Lawprof

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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. Piper Jaffray also failed to inform FINRA of its email retention and retrieval issues,...

Full post as published by Securities Law Prof Blog on May 24, 2010 (boomark / email).

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