Violation Tracker Individual Record
Date:November 20, 2009
Offense Group:financial offenses
Primary Offense:investor protection violation
OppenheimerFunds agreed to pay $20 million to settle allegations of mismanagement, securities fraud, breach of contract, and breach of fiduciary duty in its management of the Oregon 529 College Savings Network.
Level of Government:state
Action Type:agency action
Agency:Oregon Attorney General
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:Georgia
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:investment management
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