Oppenheimer Settles With FINRA For $1M
Under the deal, the company will hire an independent consultant to evaluate its policies, systems and procedures for responding to information requests. In return, FINRA has agreed to dismiss the charges against Oppenheimer CEO Albert Grinsfelder Lowenthal.
“The self-regulatory model depends on accurate, timely and complete responses by firms to informational requests from FINRA,” said...
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