Search for: "Oppenheimer & Co."
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22 Apr 2014, 2:12 pm
According to the report, Schneider worked for Oppenheimer & Co from January 2003 through October 2011, until he was fired when the firm discovered he had misappropriated checks from the two elderly clients. [read post]
7 Apr 2014, 7:03 am
The Act of Killing (a film by Joshua Oppenheimer; produced by Final Cut for Real ApS; directed by Joshua Oppenheimer; produced by Signe Byrge Sørensen; executive producers, Errol Morris, Werner Herzog, André Singer, Joram ten Brink, Torstein Grude, Bjarte Mørner Tveit) [HV6322.3.I5 A283 2014 DVD] – An examination of the murder of political dissidents in Indonesia by government sponsored death squads in the years following the military coup in 1965, in… [read post]
1 Apr 2014, 3:16 pm
According to the FBI, Eydelman was a long-time employee for Oppenheimer & Co. at the time that he became entangled with Metro’s scheming, and he continued in his shady pursuits after making a move to Morgan Stanley. [read post]
25 Mar 2014, 8:49 pm
If it's workers' compensation, then the connection is a far reaching scheme involving millions of dollars, failed insurance companies and professional employer organizations.A federal grand jury in New York back in October 2012 indicted Wilbur Anthony Huff, principal behind a couple of professional employer organizations, Matthew Morris, Park Avenue Bank's former senior vice president, and Allen Reichman, the former director of investments at New York investment house… [read post]
25 Mar 2014, 3:54 am
And who knows how much of the failure of Park Avenue and Imperial Casualty and Indemnity Co. [read post]
20 Mar 2014, 9:54 am
Merrill Lynch Pierce Fenner & Smith Inc.; Merrill Lynch Trust Co. [read post]
10 Mar 2014, 10:55 am
Gillespie Oppenheimer & Co., Inc.; Aegis Capital Corp., and Joseph Gunnar & Co., LLC Respondent Oppenheimer & Co., Inc. is liable for and shall pay to Claimant Gillespie, the sum of $848,248.20 in compensatory damages; Respondent Oppenheimer & Co. is liable for and shall pay to Claimant Gillespie, pre-judgment interest on the above-stated sum at the rate of 5% per annum from and including September 25, 2009, through and… [read post]
6 Mar 2014, 11:11 am
Merrill Lynch Pierce Fenner & Smith Inc.; Merrill Lynch Trust Co. [read post]
21 Feb 2014, 5:52 am
Riewe, Co-Chief of the SEC Division of Enforcement’s Asset Management Unit. [read post]
5 Dec 2013, 5:41 am
Thereafter, and until August 2011, Bucci was registered with Oppenheimer & Co. [read post]
4 Nov 2013, 5:18 am
Fom November 2002 until November 2005, Hotton was associated with Ladenburg, Thalmann & Co., Inc., From November 2005 until February 2009, Hotton was associated with Oppenheimer & Co., Inc. [read post]
16 Sep 2013, 6:45 am
"Europe Failing Syrian Refugees," IPS, 12 Sept. 2013 [text] How Switzerland is Quietly Criminalizing its Asylum Seekers (MintPress News, Sept. 2013) [text via Oppenheimer Chair] Key Figures on Asylum to the EU (Thomson Reuters, Sept. 2013) [access] - Follow link for three infographics. [read post]
7 Aug 2013, 10:16 am
Oppenheimer & Co. [read post]
6 Aug 2013, 1:27 pm
On August 5, 2012 the Financial Industry Regulatory Authority (FINRA) announced that Oppenheimer & Co has been fined $1,425,000 for selling unregistered penny stocks and for failing to have implemented an adequate anti-money laundering (AML) program to detect suspicious transactions. [read post]
15 Apr 2013, 1:28 pm
According to Advisor One, “Two investment advisors at Oppenheimer & Co. were charged by the SEC with misrepresenting to investors the valuation policies and performance of a private equity fund that they manage. [read post]
15 Mar 2013, 8:31 am
Illinois offered $2.2 billion in bonds during 2005 to 2009.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]
11 Mar 2013, 10:06 am
The SEC charged two investment advisers at Oppenheimer & Co. with misleading investors about the valuation policies and performance of a private equity fund they manage. [read post]
30 Nov 2012, 12:57 pm
As one of my co-authors has previously stated, the SCOV reviews a ruling on summary judgment using the we-do-what-we-want-on-de-novo standard. [read post]
16 Nov 2012, 9:14 am
[the Oppenheimer Rochester National Municipals Fund]. [read post]
