Search for: "Oppenheimer & Co., Inc."
Results 101 - 120
of 211
Sort by Relevance
|
Sort by Date
1 Jun 2018, 3:06 pm
Lawyers representing a retired couple in a claim against Oppenheimer & Co., Inc. recently obtained an award from a Financial Industry Regulatory Authority (“FINRA”) arbitration panel awarding them $800,000 in damages. [read post]
19 Apr 2018, 3:59 am
Contrary to purported ongoing representation by decedent’s family and advisors, the record evidence demonstrates the lack of a mutual understanding that defendant would continue to represent the estate in the Devine action, even if there was a continuation of a general professional relationship (see Pellegrino v Oppenheimer & Co., Inc. [read post]
16 Apr 2018, 8:35 am
Inc. [read post]
4 Apr 2018, 7:38 am
Sound Financial, LLC David Wayne Krumrey Oppenheimer & Co Inc. [read post]
22 Mar 2018, 10:21 am
Block’s then employer, Oppenheimer & Co. [read post]
6 Feb 2018, 7:33 am
Oppenheimer & Co. [read post]
17 Jan 2018, 6:21 am
Previous registrations include Oppenheimer & Co., Wayne Hummer Investments LLC, Vision Investment Services Inc., Northern Trust Securities Inc., Invest Financial Corporation, Charter One Securities Inc., Investment Network Inc., Forth Financial Securities Corporation, Marketing One Securities Inc., and Investment Network Inc. [read post]
3 Jan 2018, 4:33 am
The record clearly establishes an attorney-client relationship, as defendant entered into two stipulations extending Billiard’s time to answer in an underlying personal injury action, which were filed in court, and represented itself as Billiard’s attorney (see Cooke v Laidlaw Adams & Peck, 126 AD2d 453, 455 [1st Dept 1987]; compare Pellegrino v Oppenheimer & Co., Inc., 49 AD3d 94, 99 [1st Dept 2008]). [read post]
20 Sep 2017, 5:36 am
(FINRA Case #2013038869101) Oppenheimer & Co. [read post]
17 Jul 2017, 11:33 pm
Stewart Title Co. [read post]
3 Jul 2017, 1:53 pm
From January 2002 until July 2013, Heimann was associated with Oppenheimer & Co. [read post]
17 Mar 2017, 1:59 pm
Hobson, a former Oppenheimer & Co. investment adviser in Providence, R.I. was sentenced to six months’ imprisonment Wednesday after he pleaded guilty to insider trading based on information from a childhood friend working at Pfizer Inc. [read post]
31 Jan 2017, 12:06 pm
Prior to that he was registered with Oppenheimer & Co.; RBC Capital Markets Corporation; Salomon Smith Barney Inc.; Lehman Brothers Corp.; Merrill Lynch, Pierce, Fenner & Smith Inc., Sussex Securities Incorporated; Lehman Brothers Incorporated. [read post]
5 Dec 2016, 6:26 am
In September 2015 Oppenheimer & Co. [read post]
2 Dec 2016, 8:45 am
(“FINRA”) issued a Letter of Acceptance, Waiver and Consent (“AWC”), in which Oppenheimer & Co., Inc. [read post]
26 Nov 2016, 7:00 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has fined Oppenheimer & Co. [read post]
18 Nov 2016, 9:12 am
FINRA sanctioned Oppenheimer & Co., Inc. [read post]
31 Oct 2016, 5:01 am
Although the Supreme Court has no yet ruled on the conflict between the Circuits, prosecutors are pushing forward.Last week a former investment adviser at Oppenheimer pled guilty to charges that he engaged in an insider trading scheme based on information supplied by a childhood friend working at Pfizer Inc.The charges relate to conduct that began while he was at RBC Capital Markets and then continued at Oppenheimer & Co Inc. [read post]
27 Oct 2016, 7:02 am
According to FINRA, Hobson was registered with Oppenheimer & Co. in Providence, RI from 04/2010 – 05/2016. [read post]
27 Sep 2016, 12:00 am
The Financial Industry Regulatory Authority (FINRA) announced on June 8, 2016 that it fined Oppenheimer & Co., Inc. $2.25 million and ordered the firm to pay restitution of more than $716,000 to customers who were sold leveraged, inverse and inverse-leveraged exchange-traded funds. [read post]
