Oppenheimer

• May 10, 2024 After $13 Million in Penalties for 'Widespread Failure,' Oppenheimer Fined $500,000 for Supervisory and Suitability Gaps

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• Feb 15, 2024 Anaheim's Centaurus Financial Tops SLCG List of Riskiest Brokerage Firms for 2024

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• Sep 6, 2021 SEC Complaint Cites Former Oppenheimer Rep John Woods for Massive $110 Million Horizon Private Equity Ponzi Scheme Targeting Elderly Retirees

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• Aug 4, 2020 Oppenheimer, Already Sanctioned $3.8 Million, Sees Broker Penalized for Premature & Unsuitable UIT Sales & Trades

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• Jan 6, 2020 FINRA Penalizes Oppenheimer & Co $3.8 Million After UIT Supervisory Failures

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• Jul 12, 2018 FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations

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• May 25, 2018 FINRA Awards Clients $800,000 for Oppenheimer's Negligence in Energy Stock Recommendations

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• Jan 31, 2018 FINRA to Flag Brokers as High-Risk Due to Association with Recidivist Reps, Fraudulent Firms

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• Nov 28, 2017 Brietburn Energy Partners (BBEPQ) Drops 99% In Value After Risks Become Reality

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