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Piper Jaffray employee barred from securities
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Piper Jaffray employee barred from securities
The Financial Industry Regulatory Authority has barred a former Piper Jaffray & Co. employee from the securities industry for alleged insider trading. Abhishek Uppal, who worked in San Francisco in Piper's investment-banking department for two years before departing in July, bought shares of software company SoftBrands while it was in discussions with potential acquirers. Piper Jaffray was acting as a confidential adviser to SoftBrands, which agreed to a $41.2 million takeover. Uppal neither admitted nor denied the charges.
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