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September 13, 2022

Securities and Exchange Commission v. Oppenheimer & Co. Inc.,

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Case Number:

1:22-cv-07801

Court:

New York Southern

Nature of Suit:

Securities/Commodities

Judge:

Dale E. Ho

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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.

Coverage

  1. December 12, 2025

    Oppenheimer Fined $1.2M In SEC Muni Bond Disclosure Case

    Oppenheimer & Co. Inc. has agreed to pay the U.S. Securities and Exchange Commission $1.2 million for allegedly skirting municipal bond disclosure requirements, the regulator announced Friday.

2 other articles on this case. View all »

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