Violation Tracker Individual Record
Company:Oppenheimer & Co., Inc.
Date:June 25, 2015
Offense Group:financial offenses
Primary Offense:investor protection violation
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
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
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