December 12, 2025
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.
February 07, 2024
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.
September 13, 2022
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.