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Oppenheimer

Oppenheimer Plans Indie Channel, Shifts California Managers
3/14/18 | News | Oppenheimer

Oppenheimer Plans Indie Channel, Shifts California Managers

UBS Wins It All in $611K Claim Against Long Island Broker
Oppenheimer, UBS

UBS Wins It All in $611K Claim Against Long Island Broker

2/5/18 | News

Arbitration panel awards UBS full promissory note claims and legal fees from a broker who left after just over one year for Oppenheimer.

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Finra
Oppenheimer Swings to Profit on Tax and Hedge Fund Benefits
Oppenheimer

Oppenheimer Swings to Profit on Tax and Hedge Fund Benefits

2/1/18 | News

New York firm eroded more brokers during the fourth quarter but advisory fee revenue (and executive compensation) soared.

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Opco Managing Director to Open L.A. Outpost for Wunderlich
Oppenheimer

Opco Managing Director to Open L.A. Outpost for Wunderlich

1/30/18 | News | 1 Comment

Marty Padilla packs up his million-dollar team for new venture.

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Thank You, Morgan Stanley…Wells FiNet, RayJay, Opco Get Their Allocations
Morgan Stanley, Oppenheimer, Raymond James, Wells Fargo

Thank You, Morgan Stanley….Wells, RayJay, Opco Get Their Allocations

11/3/17 | News | 6 Comments

More veteran brokers jump-started their exits from the wirehouse in anticipation of the loss of protection from the Broker Protection.

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Oppenheimer Replaces Long-Time Advisory Account Head
Oppenheimer

Oppenheimer Replaces Long-Time Advisory Account Head

10/2/17 | News | 3 Comments

David Aplin, head of asset management product selection and overseer of brokers running discretionary accounts, is replaced after 22 years by a UBS manager.

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Oppenheimer Brokers Leave Seattle-Area Branch
Oppenheimer

Oppenheimer Brokers Leave Seattle-Area Branch

9/27/17 | Advisor Moves | 1 Comment

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.

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Oppenheimer Loses $28 Million Claim Against Jefferies Wealth Executive
Oppenheimer

Oppenheimer Loses $28 Million Claim Against Jefferies Wealth Executive

8/10/17 | News | 5 Comments

Arbitrators deny attempt to collect mega-damages from fixed-income star Greg Fisher and to pay his hefty legal fees.

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Oppenheimer Gets Another “Critical” Report Card, Makes No Remedial Promises
Oppenheimer

Oppenheimer Gets Another “Critical” Report Card, Makes No Remedial Promises

6/21/17 | News

Law firm run by former SEC chairman scrutinized internal audits after previously criticizing Opco’s corporate governance, management and compliance programs.

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Oppenheimer Orchestrates Management Shift in Los Angeles
Oppenheimer

Oppenheimer Orchestrates Management Shift in Los Angeles

5/1/17 | Advisor Moves | 2 Comments

Veteran Rick Wisely steps aside as producing manager Kevin Friedman takes over.

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Oppenheimer

Oppenheimer Has Another Losing Quarter, CEO’s Son Collects Retail Bonus

4/28/17 | News

Company’s brokerage force falls even as it incentivizes a top executive to recruit $300,000-plus producers.

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Oppenheimer to Retire $30 Million of Debt Following 2016 Operating Loss
Oppenheimer

Oppenheimer to Retire $30 Million of Debt Following 2016 Operating Loss

3/15/17 | News

Firm, which reduced its brokerage force by 5% last year, expects to save $2.6 million of annual interest by redeeming 20% of its 8.75% senior secured notes.

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