Top

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
February 03, 2017 Ex-Oppenheimer, Marquis Financial Broker Stephen Wilshinsky, Gregory Goldstein, Others Sentenced for Roles in de Maison's $39 Million Penny Stock Fraud
January 05, 2017 2017 FINRA Priorities: High-Risk and Repeat-Offender Brokers, Suitability & Sales Practices, Cybersecurity
November 19, 2016 Oppenheimer & Co Ordered to Pay $3.4 Million in Fines & in Restitution for Supervisory, Discovery & Reporting Failures and Violations
June 15, 2016 Former CCO Allen Holeman the Latest Oppenheimer & Co. Broker in Trouble with FINRA
June 08, 2016 Oppenheimer & Co Sanctioned $2.9 Million for Unsuitable Complex ETF Trades Amongst Elderly Customers
March 02, 2016 7% of Financial Advisers Industry-Wide Cited for Misconduct, Including 20% of Oppenheimer's Advisers
March 27, 2015 Oppenheimer & Co. to Pay $3.75 Million in Fines & Restitution for Failing to Supervise Thieving Broker Mark Hotton
January 29, 2015 Oppenheimer to Pay $20 Million, Admit Guilt for Penny Stock Violations, Pump-and-Dump Schemes
September 19, 2014 FBI Arrests De Maison and Wilshinsky in Multi-Million Dollar Penny Stock Fraud
December 11, 2013 Oppenheimer Fined $675,000 + $246,000 in Restitution for Unfair Municipal Securities Prices; Head Trader David Sirianni Suspended & Fined $100,000
August 06, 2013 Oppenheimer Fined $1.4 Million for Sale of Unregistered Penny Stocks and Anti-Money Laundering Violations
June 20, 2013 Randy Jason Schneider Barred and Ordered to Pay Restitution for Misappropriation of Elderly Customer's Funds and Earnings