Violation Tracker Parent Company Summary

Parent Company Name: 
Oppenheimer Holdings
Ownership Structure: 
publicly traded (ticker symbol OPY)
Headquartered in: 
New York
Major Industry: 
financial services
Specific Industry: 
financial services
Penalty total since 2000: 
$64,327,155
Number of records: 
13
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$61,621,25411
employment-related offenses$2,705,9012
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$38,821,2549
anti-money-laundering deficiencies$22,800,0002
wage and hour violation$2,375,9011
employment discrimination$330,0001
Notes: 

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Associated Names: 

Fahnestock & Co., Inc.; JOSEPHTHAL AND; Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.; OPPENHEIMER ASSET MGT AND OPPENHEIMER ALTERNATIVE INVESTMENT MGT; OPPENHEIMER HOLDING

Links: 

Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
Download results as CSV or XML
Company Primary Offense Type Year Agency Penalty Amountsort icon
Oppenheimer & Co. Inc. investor protection violation 2010 MULTI-AG $31,000,000
Oppenheimer & Co., Inc. anti-money-laundering deficiencies 2015 FINCEN $20,000,000
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. investor protection violation 2019 SEC $3,528,377
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC investor protection violation 2013 SEC $2,886,677
Oppenheimer & Company, Inc. anti-money-laundering deficiencies 2005 FINCEN $2,800,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC investor protection violation 2013 MA-AG (*) $2,800,000
Oppenheimer & Co. wage and hour violation 2011 private lawsuit-federal $2,375,901
Oppenheimer & Co. Inc investor protection violation 2009 SEC $850,000
Oppenheimer & Co. Inc. investor protection violation 2015 SEC $400,000
Josephthal & Co. employment discrimination 2000 EEOC $330,000
Josephthal & Co., Inc. investor protection violation 2002 SEC $75,000
Oppenheimer & Co. investor protection violation 2014 SEC $61,200
Fahnestock & Co., Inc. investor protection violation 2000 SEC $20,000
Download results as CSV or XML