Tagged with "claimants"

FINRA Sanctions Oppenheimer & Co. $3.4 Million For Assorted Misdeeds

Posted on November 26th, 2016 at 10:00 AM
FINRA Sanctions Oppenheimer & Co. $3.4 Million For Assorted Misdeeds

FINRA has fined Oppenheimer & Co. Inc. $1.575 million and ordered the firm to pay $1.85 million to customers for violating several FINRA rules. In consenting to the settlement agreement, Oppenheimer neither has admitted nor denied the charges. 

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