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The Investor’s Watchdog

The Investor's Watchdog
Tuesday, January 21, 2020 New York City Oppenheimer & Co. Broker-Dealer Consents to Fines and Restitution to Resolve Allegations of Failing to Supervise Early Rollovers and Series-to-Series Early Rollovers of UITs Author: Jason T. Albin

On December 17, 2019, Oppenheimer & Co. Inc., a full-service broker-dealer headquartered in New York City with approximately 127 branch offices and 1,955 registered representatives, recently consented to sanctions imposed by the Financial Industry Regulatory Authority (FINRA) Department of Enforcement to resolve allegations of securities industry violations. According to the Letter of Acceptance, Waiver and […]