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May 10, 2024
After $13 Million in Penalties for 'Widespread Failure,' Oppenheimer Fined $500,000 for Supervisory and Suitability Gaps
February 15, 2024
Anaheim's Centaurus Financial Tops SLCG List of Riskiest Brokerage Firms for 2024
September 06, 2021
SEC Complaint Cites Former Oppenheimer Rep John Woods for Massive $110 Million Horizon Private Equity Ponzi Scheme Targeting Elderly Retirees
August 04, 2020
Oppenheimer, Already Sanctioned $3.8 Million, Sees Broker Penalized for Premature & Unsuitable UIT Sales & Trades
January 06, 2020
FINRA Penalizes Oppenheimer & Co $3.8 Million After UIT Supervisory Failures
July 12, 2018
FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations
May 25, 2018
FINRA Awards Clients $800,000 for Oppenheimer's Negligence in Energy Stock Recommendations
January 31, 2018
FINRA to Flag Brokers as High-Risk Due to Association with Recidivist Reps, Fraudulent Firms
