Search for: "OppenheimerFunds, Inc."
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15 Jun 2012, 12:28 pm
If you are an investor that has suffered losses investing with OppenheimerFunds Inc., please contact one of our attorneys at 312-332-0000 to discuss your recovery option. [read post]
27 Apr 2009, 6:45 am
OppenheimerFunds, Inc. is facing a number of class actions, investor claims and investigations by five states into losses associated with its bond funds. [read post]
21 Apr 2009, 4:46 pm
Last week, the Oregon's Attorney General sued OppenheimerFunds Inc. for allegedly mismanaging the state's 529 College Savings Plan when it recommended a bond that took risks that were not in alignment with the Plan's conservative investment objectives. [read post]
6 Jun 2012, 12:48 pm
The SEC and investment management company OppenheimerFunds Inc. settled charges that its sales and distribution arm made misleading statements about two of its mutual funds struggling in the midst of the credit crisis in late 2008. [read post]
23 Jul 2015, 7:00 am
With the loss, OppenheimerFunds suffered the most. [read post]
8 Jun 2012, 6:25 am
OppenheimerFunds, Inc. has agreed to pay $35 million to settle charges by the Securities and Exchange Commission ("SEC") that it made misleading statements to investors about the Oppenheimer Core Bond Fund (Symbol: OPIGX) and Oppenheimer Champion Income Fund (Symbol: OPCHX) (collectively "Funds"). [read post]
12 Jun 2012, 7:14 am
According to the SEC’s order instituting settled administrative proceedings against OppenheimerFunds and OppenheimerFunds Distributor Inc., the total return swaps contracts allowed the two funds to gain substantial exposure to commercial mortgages without purchasing actual bonds. [read post]
12 Jun 2012, 7:14 am
According to the SEC’s order instituting settled administrative proceedings against OppenheimerFunds and OppenheimerFunds Distributor Inc., the total return swaps contracts allowed the two funds to gain substantial exposure to commercial mortgages without purchasing actual bonds. [read post]
6 Aug 2011, 5:02 pm
’s OppenheimerFunds Inc. has agreed to pay to settle allegations that it did not properly manage its Oppenheimer Core Bond Fund (OPIGX) and Oppenheimer Champion Fund (OCHBX, OPCHX and OCHCX). [read post]
13 Jun 2012, 10:21 pm
One firm that has agreed to settle the SEC’s administrative action against it is OppenheimerFunds Inc. [read post]
2 Apr 2014, 1:04 am
The panelists were Jill Simeone, General Counsel and Chief Compliance Officer, KCAP Financial, Inc.; Michael Sternhell, Vice President and Associate Counsel, OppenheimerFunds; Carl McCarthy, General Counsel and Chief Compliance Officer, ACA Financial Guaranty Corporation; and Andrew Dominus, General Counsel and Chief Compliance Officer, Seer Capital Management. [read post]
2 Apr 2014, 1:04 am
The panelists were Jill Simeone, General Counsel and Chief Compliance Officer, KCAP Financial, Inc.; Michael Sternhell, Vice President and Associate Counsel, OppenheimerFunds; Carl McCarthy, General Counsel and Chief Compliance Officer, ACA Financial Guaranty Corporation; and Andrew Dominus, General Counsel and Chief Compliance Officer, Seer Capital Management. [read post]
2 Apr 2014, 1:04 am
The panelists were Jill Simeone, General Counsel and Chief Compliance Officer, KCAP Financial, Inc.; Michael Sternhell, Vice President and Associate Counsel, OppenheimerFunds; Carl McCarthy, General Counsel and Chief Compliance Officer, ACA Financial Guaranty Corporation; and Andrew Dominus, General Counsel and Chief Compliance Officer, Seer Capital Management. [read post]
26 Oct 2012, 2:20 pm
Holiber, Fabulosity, General Counsel, Greenwich Club, In-House Counsel, Inco Limited, Isabel Solmonson, Jenny Park Adam, John Liss, Kleier Residential, Lawyerly Lairs, Manhattan, Money, New York, New York City, NYC, OppenheimerFunds Inc., Randi Feiner, Randi P. [read post]
26 Oct 2012, 2:20 pm
Holiber, Fabulosity, General Counsel, Greenwich Club, In-House Counsel, Inco Limited, Isabel Solmonson, Jenny Park Adam, John Liss, Kleier Residential, Lawyerly Lairs, Manhattan, Money, New York, New York City, NYC, OppenheimerFunds Inc., Randi Feiner, Randi P. [read post]
7 Jun 2012, 9:00 pm
The Securities and Exchange Commission (SEC) ordered OppenheimerFunds Inc. to pay more than $35 million in fines for allegedly making misleading statements to investors about two company mutual funds. [read post]
16 Aug 2010, 9:17 pm
., Lehman Brothers Holdings Inc., General Motors Corp, and American International Group Inc. [read post]
23 Dec 2009, 1:26 am
Illinois settles for $77 million over college savings plan "Illinois has become the first state to reach a final agreement with OppenheimerFunds Inc. over losses that consumers suffered when the company invested college savings funds in what states called overly risky financial securities. [read post]
3 Sep 2020, 7:51 am
National Securities Corporation Paula Collins TIAA-CREF Individual & Institutional Services, LLC Oppenheimerfunds Distributor, Inc. [read post]
11 Jun 2020, 11:36 am
BBVA Securities Inc. [read post]
