Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Oppenheimer & Co.
Current Parent Company: Oppenheimer Holdings
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $215,000
Year: 2015
Date: October 23, 2015
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Level of Government: state
Action Type: agency action
Agency: New Mexico Securities Division
Civil or Criminal Case: civil
Facility State: New Mexico
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.