Piper Jaffray slapped with $700K fine for gaps in paper trail
Finra said last week that it has fined Piper Jaffray and Co. $700,000 for failure to retain e-mails.
Finra said last week that it has fined Piper Jaffray and Co. $700,000 for failure to retain e-mails.
The Financial Industry Regulatory Authority Inc. said Monday that the firm failed to keep 4.3 million e-mails from late 2002 through 2008 due to intermittent technical issues.
The pr
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