Search for: "Oppenheimer Trust Company"
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8 May 2024, 7:20 pm
Failure to Supervise Unit Investment Trust Sales December 2019 Oppenheimer & Co. agreed to pay nearly $4.7 million to settle allegations that it failed to properly supervise $6.4 billion worth of unit investment trust sales over five years, according to the Financial Industry Regulatory Authority. [read post]
17 Apr 2024, 12:50 pm
Oppenheimer, 104 So. 2d 642, 644 (Fla. 2d DCA 1958) (“A mere employee of a corporation generally does not occupy a position of trust and owe a fiduciary duty unless he also serves as its agent. [read post]
1 Sep 2023, 6:07 am
” The dispute involved a family trust investment into two companies and the use of margin credit and went to FINRA arbitration for resolution. [read post]
2 Feb 2023, 9:05 pm
(Gig3 or the Company) — now Lightning eMotors, Inc. [read post]
26 Aug 2022, 10:00 am
And I get an opportunity to talk about my favorite company Apple and its toys. [read post]
30 Mar 2022, 8:23 am
His previous employers include Oppenheimer & Co. [read post]
14 Dec 2021, 9:00 am
A Unit Investment Trust (UIT) is a form of investment company that offers investors shares, or “units,” in a fixed portfolio of securities in a one-time public offering that terminates on a specified maturity date, often after 15 or 24 months. [read post]
4 Nov 2021, 8:57 am
By that measure, Theranos was a very special breed of unicorn—not only was the company worth several billion dollars, but it also raised around $1 billion from investors alone. [read post]
7 Sep 2021, 6:41 am
They also used a custodial trust company. [read post]
17 Jan 2018, 6:21 am
Noyes & Company. [read post]
17 Jul 2017, 11:33 pm
In September 2008, Country Wide Mortgage assigned Guerrero's loan to BANA through MERS, and recorded an Assignment of Deed of Trust. [read post]
8 Feb 2017, 6:34 am
From July 2011 through March 2015, Murphy was associated with Oppenheimer & Company Inc. [read post]
8 Feb 2017, 6:34 am
From July 2011 through March 2015, Murphy was associated with Oppenheimer & Company Inc. [read post]
26 Mar 2016, 9:05 am
”A spokeswoman for Oppenheimer says that the company has directed far more investment to compliance and risk management in its private client division. [read post]
17 Sep 2015, 1:27 pm
That’s literally insurance company saying we are going to give you the following income for life and then you just have to look at the features of the product and figure out what you’re actually getting. [read post]
12 Aug 2015, 9:08 am
LLC – $500,000 The Northern Trust Company – $60,000 Oppenheimer & Co. [read post]
4 Aug 2015, 5:53 am
Cushing Funds were underwritten by broker-dealers including: Stifel, Nicolaus & Company, RBC Capital Markets, Oppenheimer & Co., Robert W. [read post]
25 Jun 2015, 1:29 pm
Hart and Company Loop Capital Markets Martin Nelson & Co Merchant Capital Merrill Lynch Pierce Fenner & Smith Corporation Morgan Stanley & Co The Northern Trust Company Oppenheimer & Co Raymond James & aSSOCIATES RBC Capital Markets Robert W Baird & Co Raymond James & Associates RBC Capital Markets Robert W Baird & Co Siebert Brandford Shank & Co Smith Hayes Financial Services Corporation Stephens Inc Sterne Agee & Leach… [read post]
31 Jul 2014, 1:43 pm
At least he's in good company. [read post]
15 Jul 2014, 1:54 pm
This is exactly what one Oppenheimer & Co., Inc. investment advisor has done. [read post]
