Search for: "Oppenheimer & Co."
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20 Jun 2016, 9:27 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Without admitting or denying allegations, Oppenheimer & Co. agreed to pay $2.25 million to FINRA for the unsuitable sales of non-traditional ETFs and the consequential supervisory failures in addition to $716,000 in restitution to the affected clients.FINRA reports that it communicated with industry broker-dealers, including Oppenheimer, in 2009, informing them about the risks and complexities of non-traditional ETFs.… [read post]
22 Feb 2019, 3:44 pm
Block (CRD No. 213543) is a former registered representative of First Standard Financial Co. [read post]
26 Oct 2010, 4:06 pm
As reported in The New York Law Journal last week, an S.D.N.Y. judge recently dismissed a class action complaint against Oppenheimer Co. centering on sales of auction rate securities, a vehicle of infamy in recent years. [read post]
18 Feb 2024, 7:07 pm
Woods, a former Oppenheimer & Co. [read post]
15 Jul 2014, 1:54 pm
This is exactly what one Oppenheimer & Co., Inc. investment advisor has done. [read post]
20 Sep 2021, 7:16 am
A number of 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]
20 Apr 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Michael Oppenheim, a former JPMorgan Chase & Co. broker, was arrested Thursday for stealing $20 million from his clients over a four-year period.Oppenheim was a JP broker at a Manhattan branch of JPMorgan Chase & Co.According to the authorities, Oppenheim convinced clients to consent to the withdrawal of hundreds of thousands, and in some cases millions, of dollars from their bank accounts by falsely… [read post]
17 Mar 2008, 8:59 am
The recent purchase of Bear Stearns by JPMorgan Chase & Co. for a price of $2 per share will cause a "major negative revaluation" of financial stocks, according to Meredith Whitney, an analyst with Oppenheimer & Co. [read post]
21 Sep 2022, 12:37 pm
According to a press release on September 13, 2022, the Securities and Exchange Commission filed a litigated action against Oppenheimer & Co. [read post]
16 Aug 2010, 9:17 pm
It was during this time that the fund sold credit default swaps on beleaguered companies, including Tribune Co., Lehman Brothers Holdings Inc., General Motors Corp, and American International Group Inc. [read post]
1 Jun 2020, 2:04 am
Oppenheimer & Co., Inc. and Steven A. [read post]
4 Jul 2022, 7:46 pm
Oppenheimer & Co. [read post]
4 Jul 2022, 7:46 pm
Oppenheimer & Co. [read post]
31 Oct 2014, 6:13 am
From November 12, 2004 through November 12, 2013, Campbell was registered with Oppenheimer & Co., Inc. [read post]
31 May 2015, 7:24 am
Then, from April 2009 until January 2014, McGrath was a representative with Oppenheimer & Co. [read post]
2 Jun 2022, 11:40 am
Former Richmond, Virginia Oppenheimer & Co. [read post]
11 Mar 2013, 1:07 pm
Today, the SEC charged two investment advisers at Oppenheimer & Co. with misleading investors about the valuation policies and performance of a private equity fund of funds they manage. [read post]
4 Apr 2024, 8:57 am
., a swap dealer, and against Oppenheimer & Co., Inc., an introducing broker. [read post]
7 Jun 2019, 6:35 am
According to BrokerCheck records financial advisor Demos Argyros (Argyros), currently employed by Oppenheimer & Co. [read post]
