Thursday, July 23, 2015

Oppenheimer Employees Settle Penny Stock Charges

Going Public LawyerOn July 23, 2015, the Securities and Exchange Commission (SEC) announced that three former employees of Oppenheimer & Co. Inc. have agreed to settle charges stemming from the unregistered sales of billions of shares of penny stocks on behalf of a customer.  The actions involve a portion of the conduct announced in January in a settled enforcement action against Oppenheimer in... Read MoreGoing Public Lawyer

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