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Tag: Oppenheimer investigation

Blog, Securities Fraud Articles

July 27, 2015

SEC Settlement with Okin, Lewis, and Eisler

A settlement release Thursday by the SEC stated that Robert Okin, Arthur Lewis, and Scott Eisler have agreed to bans and a combined...

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Blog, Securities Fraud Articles

August 6, 2013

FINRA Fines Oppenheimer & Co

On August 5, 2012 the Financial Industry Regulatory Authority (FINRA) announced that Oppenheimer & Co has been fined $1,425,000 for...

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