Violation Tracker Individual Record
Company:Oppenheimer & Co. Inc.
Date:February 24, 2010
Offense Group:financial offenses
Primary Offense:investor protection violation
Oppenheimer & Co. agreed to return $31 million to investors as part of the resolution of multistate litigation alleging it misled customers in the marketing and sale of auction rate securities.
Level of Government:state
Action Type:agency action
Agency:Multistate Attorneys General Case
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:New York
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:financial services
Link to Archived Court Document:
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