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Violation Tracker Individual Record

Company: Oppenheimer & Co. Inc.
Current Parent Company: Oppenheimer Holdings
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $800,000
Year: 2006
Date: October 4, 2006
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: NASD fined Oppenheimer & Co. Inc. $800,000 for failures to respond to regulatory requests for information; failures to report, or to report timely and accurately, thousands of municipal securities transactions, and failure to retain business-related internal email.
Level of Government: federal
Action Type: agency action
Agency: Financial Industry Regulatory Authority
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: financial services
Source of Data: (click here)
Notes: FINRA is a securities industry self-regulatory body authorized by the federal government. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.