ERC721

The Financial Industry Regulatory Authority fined Oppenheimer & Co. Inc. $1 Million for submitting mutual fund breakpoint data to FINRA that the firm knew to be inaccurate, as well as for related supervisory deficiencies. For more info visit https://www.finra.org/media-center/news-releases/2007/finra-fines-oppenheimer-1-million-settle-charges-it-produced-flawed

Name

933

Owner

0xd3770A917176446d5C0a3BD12dB8E9327333c2E3

ID#933

Rarity

X-LO:87%

Parent Company

Oppenheimer Holdings

EX:1%

Company

Oppenheimer & Co. Inc.

EX:MAX

Violation

Financial Market Violations

X-HI:14%

Penalty

$1,000,000.00

EX:2%

Year

2007