Oppenheimer
Oppenheimer Expands Stock Plan Business with Hire from UBS
California-based broker is one of two leaving UBS in the Golden State in recent days, the other in more secretive circumstances.
Aging Broker Workforces Challenge Growth
Regional firms do a lot of talking about roaring ahead with recruiting while wirehouses slow down, but at least two firms concede they are not hiring as quickly as their experienced brokers are retiring.
Oppenheimer Plans Indie Channel, Shifts California Managers
Embryonic unit being formed under former LPL Financial executive Derek Bruton, who hands reins of Newport Beach office to former Merrill manager.
UBS Wins It All in $611K Claim Against Long Island Broker
Arbitration panel awards UBS full promissory note claims and legal fees from a broker who left after just over one year for Oppenheimer.
Oppenheimer Swings to Profit on Tax and Hedge Fund Benefits
New York firm eroded more brokers during the fourth quarter but advisory fee revenue (and executive compensation) soared.
Opco Managing Director to Open L.A. Outpost for Wunderlich
Marty Padilla packs up his million-dollar team for new venture.
Thank You, Morgan Stanley….Wells, RayJay, Opco Get Their Allocations
More veteran brokers jump-started their exits from the wirehouse in anticipation of the loss of protection from the Broker Protection.
Oppenheimer Replaces Long-Time Advisory Account Head
David Aplin, head of asset management product selection and overseer of brokers running discretionary accounts, is replaced after 22 years by a UBS manager.
Oppenheimer Brokers Leave Seattle-Area Branch
A month after losing a $340-million AUM team in its Bellevue, Wash. branch to Stifel, a veteran sole practitioner leaves the office to join a local RIA.
Oppenheimer Loses $28 Million Claim Against Jefferies Wealth Executive
Arbitrators deny attempt to collect mega-damages from fixed-income star Greg Fisher and to pay his hefty legal fees.
Oppenheimer Gets Another “Critical” Report Card, Makes No Remedial Promises
Law firm run by former SEC chairman scrutinized internal audits after previously criticizing Opco’s corporate governance, management and compliance programs.