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Violation Tracker Individual Record

Company: Oppenheimer & Co., Inc.
Current Parent CompanyOppenheimer Holdings
Parent at the Time of the Penalty Announcement subscribe to see this data field
Penalty: $685,000
Year: 2015
Date: June 25, 2015
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Oppenheimer agreed to pay $685,000 in settlement of allegations it failed to properly supervise one of its brokers, resulting in excessive fees and unsuitable investments.
Level of Government: state
Action Type: agency action
Agency: Delaware Fraud & Consumer Protection Division
Civil or Criminal Case: civil
Facility State: Delaware
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)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.