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Recent Posts in Oppenheimer Category

FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations

FINRA barred former Financial West Group and Western International Securities (both Los Angeles, California) broker Paul Edward Soll for refusing to cooperate with an investigation involving trading ...
Continue reading "FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations" »

FINRA Awards Clients $800,000 for Oppenheimer's Negligence in Energy Stock Recommendations

FINRA awarded a married couple $800,000 after an arbitration panel found Oppenheimer & Co. negligent in recommending these customers invest in energy stocks, including Breitburn Energy Partners, ...
Continue reading "FINRA Awards Clients $800,000 for Oppenheimer's Negligence in Energy Stock Recommendations" »

FINRA to Flag Brokers as High-Risk Due to Association with Recidivist Reps, Fraudulent Firms

In a video segment, A Few Minutes with FINRA, Executive Vice President and Head of FINRA Member Regulation Mike Rufino introduced the regulator's High-Risk Registered Representative Program, in ...
Continue reading "FINRA to Flag Brokers as High-Risk Due to Association with Recidivist Reps, Fraudulent Firms" »

Brietburn Energy Partners (BBEPQ) Drops 99% In Value After Risks Become Reality

Once touted as a solid investment, Los Angeles-based Breitburn Energy Partners LP (over the counter as BBEPQ) suffered the fate of several oil-and-gas sector securities and Master Limited Partnerships ...
Continue reading "Brietburn Energy Partners (BBEPQ) Drops 99% In Value After Risks Become Reality" »

SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints

A Securities Litigation & Consulting Group (SLCG) study ranked brokerage firms based on broker complaint history, finding that nearly one quarter of all brokers employed by Aegis Capital Corp and ...
Continue reading "SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints" »

Ex-Oppenheimer, Marquis Financial Broker Stephen Wilshinsky, Gregory Goldstein, Others Sentenced for Roles in de Maison's $39 Million Penny Stock Fraud

A federal judge sentenced eight former brokers, advisers, and salesmen—including alleged ringleader Izak Zirk de Maison of Redlands, California—to prison for their roles in a widespread ...
Continue reading "Ex-Oppenheimer, Marquis Financial Broker Stephen Wilshinsky, Gregory Goldstein, Others Sentenced for Roles in de Maison's $39 Million Penny Stock Fraud" »

2017 FINRA Priorities: High-Risk and Repeat-Offender Brokers, Suitability & Sales Practices, Cybersecurity

In its annual Regulatory and Examination Priorities Letter for 2017, FINRA revealed several observations from the past year regarding areas of weakness and recommendations on how to strengthen or ...
Continue reading "2017 FINRA Priorities: High-Risk and Repeat-Offender Brokers, Suitability & Sales Practices, Cybersecurity" »

Oppenheimer & Co Ordered to Pay $3.4 Million in Fines & in Restitution for Supervisory, Discovery & Reporting Failures and Violations

18 months after ordering Oppenheimer & Co. Inc. to pay $2.5 million in fines and $1.25m in restitution for failing to supervise ex-rep Mark Christopher Hotton, FINRA once again has sanctioned ...
Continue reading "Oppenheimer & Co Ordered to Pay $3.4 Million in Fines & in Restitution for Supervisory, Discovery & Reporting Failures and Violations" »

Former CCO Allen Holeman the Latest Oppenheimer & Co. Broker in Trouble with FINRA

Former Oppenheimer & Co. Inc. Chief Compliance Officer Allen Bernard Holeman is the latest Oppenheimer registrant under investigation by FINRA for failing to comply with industry rules and ...
Continue reading "Former CCO Allen Holeman the Latest Oppenheimer & Co. Broker in Trouble with FINRA" »

Oppenheimer & Co Sanctioned $2.9 Million for Unsuitable Complex ETF Trades Amongst Elderly Customers

FINRA fined Oppenheimer & Co. Inc. $2.25 million and ordered nearly $716k in restitution for four years' worth of unsuitable sales of leveraged, inverse, and inverse-leveraged Exchange-Traded ...
Continue reading "Oppenheimer & Co Sanctioned $2.9 Million for Unsuitable Complex ETF Trades Amongst Elderly Customers" »

7% of Financial Advisers Industry-Wide Cited for Misconduct, Including 20% of Oppenheimer's Advisers

A recent industry-wide study of financial advisers found that seven percent of all advisers have been disciplined for misconduct, such as trading in customer accounts without permission or making ...
Continue reading "7% of Financial Advisers Industry-Wide Cited for Misconduct, Including 20% of Oppenheimer's Advisers" »

Oppenheimer & Co. to Pay $3.75 Million in Fines & Restitution for Failing to Supervise Thieving Broker Mark Hotton

FINRA sanctioned brokerage firm Oppenheimer & Co. Inc. a total of $3.75 million—which includes a $2.5m fine and $1.25m in restitution—for failing to supervise former broker Mark ...
Continue reading "Oppenheimer & Co. to Pay $3.75 Million in Fines & Restitution for Failing to Supervise Thieving Broker Mark Hotton" »

Oppenheimer to Pay $20 Million, Admit Guilt for Penny Stock Violations, Pump-and-Dump Schemes

The SEC and Treasury Department's Financial Crimes Enforcement Network issued parallel orders charging Oppenheimer & Co. with improper sales of penny stocks, including allegations of ...
Continue reading "Oppenheimer to Pay $20 Million, Admit Guilt for Penny Stock Violations, Pump-and-Dump Schemes" »

FBI Arrests De Maison and Wilshinsky in Multi-Million Dollar Penny Stock Fraud

On September 18, 2014, the FBI arrested Izak Sirk De Maison (aka Izak Zirk Engelbrecht) and Stephen Joel Wilshinsky in Los Angeles, California for their criminal involvement in a penny stock scheme to ...
Continue reading "FBI Arrests De Maison and Wilshinsky in Multi-Million Dollar Penny Stock Fraud" »

Oppenheimer Fined $675,000 + $246,000 in Restitution for Unfair Municipal Securities Prices; Head Trader David Sirianni Suspended & Fined $100,000

FINRA fined Oppenheimer & Co., Inc. $675,000 and ordered the firm to pay over $246,000, plus interest, in restitution to customers FINRA says were charged unfair prices due, in part, to the ...
Continue reading "Oppenheimer Fined $675,000 + $246,000 in Restitution for Unfair Municipal Securities Prices; Head Trader David Sirianni Suspended & Fined $100,000" »

Oppenheimer Fined $1.4 Million for Sale of Unregistered Penny Stocks and Anti-Money Laundering Violations

FINRA fined Oppenheimer and Co., Inc. $1,425,000 after finding that Oppenheimer sold more than a billion shares of 20 unregistered penny stocks. Oppenheimer was also sanctioned for failure to ...
Continue reading "Oppenheimer Fined $1.4 Million for Sale of Unregistered Penny Stocks and Anti-Money Laundering Violations" »

Randy Jason Schneider Barred and Ordered to Pay Restitution for Misappropriation of Elderly Customer's Funds and Earnings

FINRA barred former Oppenheimer & Co. Inc. broker Randy Jason Schneider for allegedly misappropriating checks and bonds from two elderly customers. It additionally ordered Schneider pay at least ...
Continue reading "Randy Jason Schneider Barred and Ordered to Pay Restitution for Misappropriation of Elderly Customer's Funds and Earnings" »
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