Latest News
- Disaster and Business Continuity
- Derivatives Operations +
-
Securities Operations
+
- Affirmation, Allocation & Confirmation
- Back Office
- Buy-Side
- Case Studies
- Clearing
- Corporate Actions
- Data Management
- FX Operations
- Hedge Fund Operations
- Industry News
- Mergers & Acquisitions
- Middle-Office
- Operational Risk
- Ops Automation
- Outsourcing
- Private Markets
- Reconciliation & Exceptions
- Risk Management
- Sell-Side
- Settlement
- T+1 Settlement
- Diversity & Human Interest +
- FinTech Trends +
- Opinion +
- Performance Measurement +
- Regulation & Compliance +
- Industry News +
- FTF Media & Content Channels +
- FTF Bull Run Blog
The firm is also paying $716,000 in restitution to affected customers.
The Financial Industry Regulatory Authority (FINRA) has fined investment bank Oppenheimer & Co. $2.25 million and has ordered the firm to pay restitution of more than $716,000 to affected customers for recommending non-traditional exchange-traded funds (ETFs) that the regulator says “were not suitable” for certain retail investors and were sold “without reasonable supervision.” FINRA’s actions...
Already a subscriber? Login here
