Oppenheimer
Finra Sanctions Ex-Oppenheimer Broker over UIT Trades
Fine and suspension against former advisor in Florida follows Oppenheimer’s agreement to pay Finra $4.7 million to settle charge of failing to supervise UIT sales.
Finra Teaches Another Lesson: Don’t Delegate Test-Taking
An Oppenheimer broker accused of assigning his client service associate to take his continuing education courses gets three-month suspension and fine.
Fired Multi-Million-Dollar Merrill Broker Joins Oppenheimer
Virginia’s Eric Bartok, a Forbes best-in-stater said to have been producing more than $3 million, was dismissed for expense-account violations, Merrill said.
SEC Calls ‘Strike 3’ Against Veteran Chief Compliance Officer
Former Oppenheimer compliance head, now with David Lerner Associates, loses his second appeal of a Finra suspension and fine for failing to disclose tax liens.
LPL Force Diminished by Big Breakaway, Oppenheimer by Continued Attrition
Biggest independent broker-dealer says recruiting remains vibrant after breakaway of Independent Financial while Opco force edges toward 1,000.
Opco Broker in L.A. Producing $4 Mln Goes Independent
After an 18-year career with Oppenheimer, Larry Goldstein affiliates with Cetera’s Summit Brokerage in search of a bigger payout.
A Ponzi Scheme, a Retiree and a Revolt Against OppenheimerFunds
Donald Dwyer left statehouse politics for retirement in Clearwater, Florida, at the Grand Venezia, a 336-unit condominium complex with a pool, tennis courts and ill-fated ambitions to bring a touch of Italian luxury to the Gulf Coast.
LPL Firm Hires Manager of Oppenheimer’s Philadelphia Offices
New Jersey-based Gladstone Wealth Group, which has been recruiting wirehouse managers in an effort to quickly expand its franchise, signs up 21-year industry veteran.
Morgan Stanley Terminates Broker over College Admissions Scandal
Pasadena advisor Michael Wu was discharged in March for not cooperating with an internal investigation
College Scandal Mastermind Says He Worked with Wealth Firms
Rick Singer’s admissions coaching website says Morgan Stanley, UBS, Opco and Pimco offered his services to clients and executives.
Oppenheimer Proposes Mutual Fund Share-Class Settlement
New York firm seeks to pay $3.5 million to clients who bought share classes that paid 12b-1 fees when less expensive classes were available.
