Investment Firm Pays $4.4M For Rule Violations
The settlement brings to a close several investigations by the U.S. Treasury Department, the New York Stock Exchange, and the National Association of Securities Dealers.
The NYSE also censured Oppenheimer, chastising the firm for failing to provide adequate managerial oversight.
“A broker-dealer cannot place the financial markets, and its customers, at risk by its own inadequacies, especially...
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