PIPER SANDLER & CO. of MINNEAPOLIS, MN is an SEC-registered investment adviser (CRD 665). Regulatory assets under management: $1.3B.
Compensation: % of AUM, Fixed, Commissions.
Clients served: Pooled vehicles, Other.
Showing 25 of 58 people.
| Name | Role | Location |
|---|---|---|
| Carter P Lee | CFO; BOARD MEMBER; HD FIN RISK MGMT & TREASURER; BOARD MEMBER; SR VP OF FINANCE & TREASURER; BOARD MEMBER | Midvale, UT |
| Duff Michael Scott | CHAIRMAN; BOARD MEMBER; CHAIRMAN, CEO; BOARD MEMBER; CHAIRMAN, CEO, MANAGEMENT COMMITTEE (+2 more) | Toronto, A6 |
| Debbra Lynn Schoneman | PRESIDENT; BOARD MEMBER | — |
| Chad Richard Abraham | CHAIRMAN, CEO; BOARD MEMBER | — |
| John William Jr. Geelan | CHIEF LEGAL OFFICER | — |
| Michael Edward Cox | CO-HEAD OF EQUITIES; BOARD MEMBER | — |
| Jonathan Jay Doyle | HEAD OF FINANCIAL SERVICES GROUP | — |
| Michael Ray Dillahunt | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | — |
| Bridget Tere Larsen | CHIEF COMPLIANCE OFFICER | — |
| Jeremy Joseph Gerber | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | — |
| Katherine Patricia Clune | CFO; BOARD MEMBER | — |
| SMITH LORINE ANN | SROP | — |
| PIPER ADDISON LEWIS | CHAIRMAN OF BOARD, DIRECTOR, MANAGEMENT COMMITTEE; VICE CHAIRMAN, DIRECTOR, MANAGEMENT COMMITTEE | — |
| SPONEM SANDRA GAY | CFO, MANAGEMENT COMMITTEE; COO, CFO, MANAGEMENT COMMITTEE; COO, CFO, MANAGEMENT COMMITTEE; DIRECTOR | — |
| CHOSY JAMES LOUIS | CHIEF LEGAL OFFICER; CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; CHIEF LEGAL OFFICER; MANAGEMENT COMMITTEE; DIRECTOR | — |
| SCHNETTLER THOMAS PATRICK | MANAGEMENT COMMITTEE; DIRECTOR; VICE CHAIRMAN; CFO; COO; MANAGEMENT COMMITTEE; VICE CHAIRMAN; CFO; MANAGEMENT COMMITTEE | — |
| PETERSON ROBERT WAYNE | HEAD OF EQUITIES; MANAGEMENT COMMITTEE; MANAGEMENT COMMITTEE; MANAGEMENT COMMITTEE; DIRECTOR | — |
| FIREBAUGH RONALD TODD | CHIEF ADMINISTRATIVE OFFICER; DIRECTOR; MANAGEMENT COMMITTEE; CHIEF ADMINISTRATIVE OFFICER; MANAGEMENT COMMITTEE; DIRECTOR; MANAGEMENT COMMITTEE | — |
| FAIRMAN FRANCIS EVARTS IV | DIRECTOR, MANAGEMENT COMMITTEE; HEAD OF PUBLIC FINANCE SERVICES; BOARD MEMBER; HEAD OF PUBLIC FINANCE SERVICES, MANAGEMENT COMMITTEE | — |
| MCCAGUE ANNCHARLOTTE | CCO; CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, CROP (+1 more) | — |
| FLEMING JOSEPH DANIEL | CCO; CCO, CROP | — |
| ROGERS ROSS EUGENE | MANAGEMENT COMMITTEE; MANAGEMENT COMMITTEE; DIRECTOR | — |
| SALVESON JON WARREN | HEAD OF INVESTMENT BANKING; MANAGEMENT COMMITTEE | — |
| MAY BENJAMIN TALLMAN | HEAD OF HIGH YIELD AND STRUCTURE PRODUCTS; MANAGEMENT COMMITTEE | — |
| FERBUYT PHILIP PAUL | SENIOR REGISTERED OPTIONS PRINCIPAL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-23 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ENTERED A SETTLEMENT ORDER FINDING THAT PIPER SANDLER HEDGING SERVICES LLC ("PIPER HEDGING") FAILED TO (1) KEEP FULL, COMPLETE, AND SYSTEMATIC RECORDS OF ALL TRANSACTIONS RELATING TO ITS BUSINESS OF DEALING IN COMMODITY INTERESTS, IN VIOLATION OF SEC… | Final | $2.0M |
| 2024-08-14 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ENTERED A SETTLED ORDER FINDING THAT PIPER SANDLER & CO. ("PIPER SANDLER") FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO PIPER SANDLER'S BROKER-DEALER BUSINESS, IN WILLFUL VIOLATION OF SECTION 17(A) OF THE SECURITIES EXCHANGE… | Final | $14.0M |
| 2016-07-07 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT UNTIMELY SUBMITTED DOCUMENTS RELATING TO PRIMARY OFFERINGS OF MUNICIPAL SECURITIES TO THE ELECTRONIC MUNICIPAL MARKET ACCESS DATABASE (EMMA). THE FINDINGS STATED THAT THE UNTIMELY SUBM… | Final | $13K |
| 2015-06-18 | regulatory | SEC ADMIN RELEASES 33-9837; 34-75231, JUNE 18, 2015: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST PIPER JAFFRAY & CO. ("RESPONDENT"). RESPONDENT WILLFULLY VIOL… | Final | $500K |
| 2015-02-02 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT INACCURATELY REPORTED THE M020 SPECIAL CONDITION INDICATOR TO THE REAL-TIME TRANSACTION REPORTING SYSTEM (RTRS) IN REPORTS OF TRANSACTIONS IN MUNICIPAL SECURITIES. THE FINDINGS STATED… | Final | $15K |