Tag: Oppenheimer & Co.
FINRA Panel Demands Oppenheimer Repurchase Securities
According to a recent article from Reuters, a Financial Industry Regulatory Authority (FINRA) arbitration panel has ruled in favor of an...
William James Murphy Barred From Securities Industry
FINRA recently issued a regulatory decision wherein William James Murphy was fined $591,933.67 as disgorgement of commissions and barred...
Investigation: Oppenheimer Champion Fund
The White Law Group is investigating possible securities fraud claims involving the Oppenheimer Champion Income Fund (OCHBX, OPCHX and...
Charles Edward Roden, of Oppenheimer & Co., Inc. in Armonk, New York, fined and suspended by FINRA for securities violations.
According to a recent FINRA announcement, Charles Edward Roden, of Oppenheimer & Co., Inc. in Armonk, New York, was really fined $5,000...
