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Securities and Exchange Commission v. Oppenheimer & Co. Inc.,
Case Number:
1:22-cv-07801
Court:
Nature of Suit:
Judge:
Firms
Companies
Government Agencies
Sectors & Industries:
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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.
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February 07, 2024
SEC Inks Deal To End Oppenheimer Muni Bond Disclosure Case
The U.S. Securities and Exchange Commission has reached a settlement with Oppenheimer & Co., putting to rest a suit that was one of the commission's first-ever enforcement actions accusing underwriters of skirting municipal bond disclosure requirements, according to a letter filed Wednesday.
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September 13, 2022
SEC Hits 4 Firms In First-Ever Muni Bond Disclosure Cases
The U.S. Securities and Exchange Commission on Tuesday filed suit against Oppenheimer & Co. Inc. and announced settlements with three other firms over what the agency said were its first-ever enforcement actions against underwriters that allegedly skirted certain municipal bond disclosure requirements.