Search for: "Oppenheimer & Co."
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12 Aug 2022, 3:19 am
Nor is it dispositive that plaintiffs and the Williams Defendants did not have a retainer agreement with respect to the engagement, given Stone’s explanation of the agreement he had with the Williams Defendants, the advice they gave him, the acts he undertook as part of the Williams Defendants’ engagement, and his reliance on their advice (see Pellegrino v Oppenheimer & Co., Inc., 49 AD3d 94, 99 [1st Dept 2008]). [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]
13 Jun 2012, 10:21 pm
In other securities law news, Egan-Jones Rating Co. wants the Securities and Exchange Commission’s attempts to pursue claims against it in an administrative forum instead of in federal court blocked. [read post]
24 Dec 2010, 7:52 am
19 Nov 2009, 5:27 am
Topping the list is Google co-founders Sergey Brin and Larry Page, who, as Fortune reminds us, "are still under 40--and worth some $14 billion each. [read post]
29 May 2021, 1:33 am
While registered with Oppenheimer & Co. [read post]
29 May 2021, 1:33 am
While registered with Oppenheimer & Co. [read post]
31 Mar 2016, 12:10 pm
The most recent complaint filed in January 2016 alleges that between December 2013 and May 2015 the customer claims to have been defrauded out of $6,750,000 through misrepresentations in what appear to be penny stocks while Templeton was associated with Oppenheimer & Co. [read post]
31 Jan 2017, 12:06 pm
Prior to that he was registered with Oppenheimer & Co.; RBC Capital Markets Corporation; Salomon Smith Barney Inc.; Lehman Brothers Corp.; Merrill Lynch, Pierce, Fenner & Smith Inc., Sussex Securities Incorporated; Lehman Brothers Incorporated. [read post]
28 Aug 2015, 8:15 am
Stein in dissenting from an order granting Oppenheimer & Co., Inc. a waiver after it was fined by the SEC and became the subject of charges by the Financial Crimes Enforcement Network. [read post]
26 Jun 2010, 7:12 am
The SCOTUSwiki pages for the cases decided Monday (Monsanto Co. v. [read post]
24 Jun 2020, 7:00 am
In our continuing series of reports, Charles (“Charlie”) Oppenheim, Chief of the Visa Control and Reporting Division, U.S. [read post]
25 Sep 2018, 7:20 am
In our continuing series of reports, Charles (“Charlie”) Oppenheim, Chief of the Visa Control and Reporting Division, U.S. [read post]
12 Mar 2020, 1:01 pm
In our continuing series of reports, Charles (“Charlie”) Oppenheim, Chief of the Visa Control and Reporting Division, U.S. [read post]
26 Mar 2016, 9:05 am
Almost 20% of the representatives at Oppenheimer & Co. have misconduct records, according to the report.Amit Seru, finance professor at the University of Chicago’s Booth School of Business, is wary of the results and posits that the misconduct can be found across the industry in firms of all shapes and sizes. [read post]
1 Sep 2011, 4:15 pm
Ronald Lee Gershon, with Oppenheimer & Co. [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]
23 Jun 2009, 12:00 pm
District of Colorado MDL No. 2063, In re Oppenheimer Rochester Funds Group Securities Litig. [read post]
5 Nov 2014, 2:56 pm
– $54,000 National Securities Corporation – $60,000 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]
