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Violation Tracker Current Parent Company Summary

Current 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$104,516,205
Number of records: 31
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$101,810,30429
employment-related offenses$2,705,9012
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$77,585,30426
anti-money-laundering deficiencies$24,225,0003
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.

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.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon .
Oppenheimer & Co. Inc.investor protection violation2010MULTI-AG$31,000,000
Oppenheimer & Co., Inc.anti-money-laundering deficiencies2015FINCEN$20,000,000
Oppenheimer & Co. Inc.investor protection violation2024SEC$12,000,000
Oppenheimer & Co. Inc.investor protection violation2019FINRA$4,600,000
Oppenheimer & Co.investor protection violation2008FINRA$4,500,000
Oppenheimer & Co. Inc.investor protection violation2015FINRA$3,750,000
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.investor protection violation2019SEC$3,528,377
Oppenheimer & Co. Inc.investor protection violation2016FINRA$3,425,000
Oppenheimer & Co. Inc.investor protection violation2016FINRA$2,966,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCinvestor protection violation2013SEC$2,886,677
Oppenheimer & Company, Inc.anti-money-laundering deficiencies2005FINCEN$2,800,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCinvestor protection violation2013MA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,800,000
Oppenheimer & Co.wage and hour violation2011private lawsuit-federal$2,375,901
Josephthal & Co., Inc.investor protection violation2001FINRA$2,300,000
Oppenheimer and Co., Inc.anti-money-laundering deficiencies2013FINRA$1,425,000
Oppenheimer & Co. Inc.investor protection violation2007FINRA$1,000,000
Oppenheimer & Co., Inc.investor protection violation2013FINRA$921,000
Oppenheimer & Co. Inc.investor protection violation2016MI-SEC$900,000
Oppenheimer & Co. Incinvestor protection violation2009SEC$850,000
Oppenheimer & Co. Inc.investor protection violation2006FINRA$800,000
Oppenheimer & Co., Inc.investor protection violation2015DE-SEC$685,000
Oppenheimer & Co. Inc.investor protection violation2015SEC$400,000
Josephthal & Co.employment discrimination2000EEOC$330,000
Oppenheimer & Co. Inc.investor protection violation2006FINRA$250,000
Oppenheimer & Co.investor protection violation2015NM-SEC$215,000
Oppenheimer & Co. Inc.investor protection violation2016SC-SEC$175,000
Oppenheimer & Co. Inc.investor protection violation2012NH-BSR$155,000
Oppenheimer & Co., Inc.investor protection violation2005MO-SEC$122,050
Josephthal & Co., Inc.investor protection violation2002SEC$75,000
Oppenheimer & Co.investor protection violation2014SEC$61,200
Fahnestock & Co., Inc.investor protection violation2000SEC$20,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.