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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: $900,000
Year: 2016
Date: July 19, 2016
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Oppenheimer agreed to pay a $250,000 civil penalty, a $400,000 civil penalty on behalf of its representatives, and $250,000 to the Investor Education Fund in settlement of allegations it failed to register its investment adviser representatives in the state.
Level of Government: state
Action Type: agency action
Agency: Michigan Securities Division
Civil or Criminal Case: civil
Facility State: Michigan
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)
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.