FINRA Enforcement: Oppenheimer to Pay $3.75M for Failure to Rein In Broker
Meanwhile, FINRA fined Ameriprise Financial over a rep who hid a customer complaint.
SEC Commissioners Rail Against Oppenheimer & Co. Waiver
SEC waiver throws away "valuable enforcement tools" and adopts a policy of "too-big-to-bar," says Rep. Maxine Waters.
Focus Financial Strikes 6 Merger Deals for Partners
One advisor acquisition came about through a discussion about succession planning, an executive says.
FINRA Fines Oppenheimer & Co., Trader for Overcharging on Muni Trades
Oppenheimer, through its head trader, charged excessive markups on 89 transactions, FINRA says.
New Hires Roundup: BlackRock Adds Taborsky; Fisher Goes to Touchstone; Harris myCFO Appoints Lee
This week in new hires, Morningstar advances Harding; Penn Mutual brings in Reynolds; Meader Chairs CFA Institute board; IPI appoints Kumar and Sutherland.
NEWS & PRODUCTS, DECEMBER 2007
The Financial Industry Regulatory Authority (FINRA) fined Oppenheimer Co., Inc. $1 million for "submitting mutual fund breakpoint data to FINRA that the firm knew to...