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Tag: Oppenheimer

SEC Charges Four Firms with Municipal Bond Disclosure Failures, featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud

September 21, 2022

SEC Charges Four Firms with Municipal Bond Disclosure Failures 

SEC says Oppenheimer, BNY Mellon Capital Markets, TD Securities (USA) and Jefferies LLC Failed to Comply with Municipal bond Offering...

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Wells Fargo to pay nearly $2.7 million for early UIT rollovers, featured by top securities fraud attorneys, the White Law Group 

Blog, Securities Fraud

December 14, 2021

Wells Fargo to pay nearly $2.7 million for early UIT rollovers 

FINRA Sanctions Wells Fargo and four other BDs for excessive sales charges  According to The Financial Industry Regulatory...

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