Search for: "Oppenheimer & Co."
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28 Sep 2023, 11:43 am
From 2014 to 2017, Ayre reportedly was a broker for Oppenheimer & Co, in its Los Angeles, California office. [read post]
28 Sep 2023, 11:43 am
From 2014 to 2017, Ayre reportedly was a broker for Oppenheimer & Co, in its Los Angeles, California office. [read post]
13 Sep 2023, 11:03 am
The university defends its ban as necessary for safety" (NYT).The co-host of Brain in a Vat, Mark Oppenheimer, is quoted saying that philosophers "say the wildest stuff and come up with the strangest cases, and any onlooker would go, 'But you people are all mad.' That’s what happened with Steve. [read post]
12 Sep 2023, 5:55 am
Editor’s Note: Part I of this series is available here. [read post]
1 Sep 2023, 6:07 am
(CRD# 7059) and Oppenheimer & Co. [read post]
13 Aug 2023, 5:49 pm
We were bemused to learn that the author of the book- Kai Bird, was also the co-author of American Prometheus- the subject of which- Robert Oppenheimer is now all the rage at the cinema. [read post]
28 Jul 2023, 6:05 am
Bernstein v Oppenheim & Co., 160 AD2d 428,430 (1st Dept. 1990). [read post]
15 Jun 2023, 10:39 am
The post FINRA Arbitrators Demand Oppenheimer & Co. [read post]
7 Jun 2023, 11:27 am
A $36.7 million Finra arbitration award against Oppenheimer & Co. [read post]
6 Jun 2023, 5:31 pm
As the judgment of arbitrators and attorneys in securities arbitration faces intense scrutiny, Oppenheimer & Co. [read post]
4 Jun 2023, 1:35 pm
An arbitration panel ordered brokerage firm Oppenheimer & Co. to pay nearly $14 million to a group of investors who were victims of a Ponzi scheme run by a former broker.The three-arbitrator panel wrote that Oppenheimer “engaged in conduct constituting gross negligence by failing to supervise its employees. [read post]
4 Jun 2023, 12:35 pm
Oppenheimer & Co. [read post]
4 Jun 2023, 10:32 am
Oppenheimer & Co. has been ordered by a Financial Industry Regulatory Authority arbitration panel to pay another $14 million over alleged supervisory failures related [...] [read post]
3 Jun 2023, 5:22 pm
Oppenheimer & Co. [read post]
1 Jun 2023, 9:45 pm
When Retirees Are Targeted By Brokers in Ponzi Scams Oppenheimer Must Pay Almost $14M Related to A$110M Scheme Run By Former Financial Advisor John Woods A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Oppenheimer & Co. to pay five Florida retirees and two trusts nearly $14M in losses they sustained in the $110M Horizon Private Equity III Ponzi scam run by its former Atlanta broker John J. [read post]
19 May 2023, 3:51 am
The settlement of the wife’s elective share claim does not utterly refute plaintiffs’ allegations of proximate cause because the complaint supports the inference that the settlement was effectively compelled by defendants’ malpractice (see Bernstein v Oppenheim & Co., 160 AD2d 428, 429-430 [1st Dept 1990]). [read post]
12 May 2023, 9:17 am
Joint book-running managers for the offering included Keefe, Bruyette & Woods, Wells Fargo Securities, Morgan Stanley, UBS Investment Bank, and Goldman Sachs, with Deutsche Bank Securities as lead manager, and Compass Point, Ladenburg Thalmann, KeyBanc Capital Markets, Oppenheimer, and Piper Sandler also as co-managers for the offering. [read post]
14 Apr 2023, 4:52 am
Imaging Co. v General Bus. [read post]
8 Dec 2022, 6:06 am
“It can no longer be doubted that as a matter of general customary international law a head of state will personally be liable to be called to account if there is sufficient evidence that he authorised or perpetrated such serious international crimes. [read post]
7 Dec 2022, 8:28 pm
More than 400 investors have suffered losses in the alleged Horizon Private Equity Ponzi Scam involving ex-Oppenheimer & Co. broker John Woods. [read post]
