FINRA imposes $250k fine on Oppenheimer & Co for alleged rule violations
Oppenheimer & Co. Inc has agreed to pay a fine of $250,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Oppenheimer & Co
Oppenheimer appoints Chris DeFalco and John Hyland as Co-Heads of Equity Capital Markets
Oppenheimer & Co. Inc today announced that Managing Directors Chris DeFalco and John Hyland have been named Co-Heads of Equity Capital Markets Investment Banking.
SEC obtains final judgment against Oppenheimer & Co
The Securities and Exchange Commission (SEC) has obtained a final judgment against Oppenheimer & Co.
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.
SEC, Oppenheimer & Co continue talks on settlement in case about non-compliance with municipal bond offering disclosure requirements
The SEC and Oppenheimer & Co continue talks on settlement in a case about non-compliance with municipal bond offering disclosure requirements.
Oppenheimer & Co to pay $450,000 fine for alleged Cboe rules violations
In at least 809,000 instances, Oppenheimer failed to report, or inaccurately reported, positions to the LOPR.
SEC charges Oppenheimer & Co, BNY Mellon, TD Securities, and Jefferies
The SEC has brought charges against Oppenheimer & Co. Inc. and announced settlements with BNY Mellon, TD Securities, and Jefferies LLC.
