Oppenheimer fine
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  • FINRA Fines Oppenheimer

    August 6, 2013 Comments (0) Blog, Securities Fraud

    On August 5, 2012 the Financial Industry Regulatory Authority (FINRA) announced that Oppenheimer & Co has been fined $1,425,000 for selling unregistered penny stocks and for failing to have implemented an adequate anti-money laundering (AML) program to detect suspicious transactions. In addition to the fine,

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