Oppenheimer investigation
Tag Archive

  • SEC Settlement with Okin, Lewis, and Eisler

    July 27, 2015 Comments (0) Blog, Securities Fraud

    A settlement release Thursday by the SEC stated that Robert Okin, Arthur Lewis, and Scott Eisler have agreed to bans and a combined $175,000 in fines to settle claims that are tied to illegal, unregistered sales of billions of shares worth of penny stocks on the behalf of a customer. The settlement claims that Okin,

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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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