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Oppenheimer

September 06, 2021 SEC Complaint Cites Former Oppenheimer Rep John Woods for Massive $110 Million Horizon Private Equity Ponzi Scheme Targeting Elderly Retirees
August 04, 2020 Oppenheimer, Already Sanctioned $3.8 Million, Sees Broker Penalized for Premature & Unsuitable UIT Sales & Trades
January 06, 2020 FINRA Penalizes Oppenheimer & Co $3.8 Million After UIT Supervisory Failures
July 12, 2018 FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations
May 25, 2018 FINRA Awards Clients $800,000 for Oppenheimer's Negligence in Energy Stock Recommendations
January 31, 2018 FINRA to Flag Brokers as High-Risk Due to Association with Recidivist Reps, Fraudulent Firms
November 28, 2017 Brietburn Energy Partners (BBEPQ) Drops 99% In Value After Risks Become Reality
October 25, 2017 SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints