Oppenheimer FINRA investigation
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  • FINRA Fines Oppenheimer $2.5 million

    April 1, 2015 Comments (0) Blog, Securities Fraud

    The Financial Industry Regulatory  Authority (FINRA) recently imposed a hefty fine on the broker dealer, Oppenheimer & Co. Inc, for failure to adequately supervise their employee Mark Hotton. The firm was fine $2.5 million and ordered to pay $1.25 million in restitution. According to FINRA, Oppenheimer failed to

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