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Oppenheimer & Co names Keith Peterson its Head of Cash Equity Sales and Trading

Oppenheimer & Co. Inc today announced that Keith Peterson has joined the firm as Managing Director and Head of Cash Equity Sales and Trading.

The SEC and Oppenheimer & Co continue talks on settlement in a case about non-compliance with municipal bond offering disclosure requirements.

In at least 809,000 instances, Oppenheimer failed to report, or inaccurately reported, positions to the LOPR.

The SEC has brought charges against Oppenheimer & Co. Inc. and announced settlements with BNY Mellon, TD Securities, and Jefferies LLC.