{"id":2563,"date":"2017-03-06T00:00:00","date_gmt":"2017-03-06T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-sanctions-oppenheimer-co-3-4-million-reporting-violations\/"},"modified":"2018-10-08T12:37:20","modified_gmt":"2018-10-08T16:37:20","slug":"finra-sanctions-oppenheimer-co-3-4-million-reporting-violations","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-sanctions-oppenheimer-co-3-4-million-reporting-violations\/","title":{"rendered":"FINRA Sanctions Oppenheimer & Co. $3.4 Million for Reporting Violations and More"},"content":{"rendered":"<\/p>\n

\"FINRA<\/p>\n

FINRA says that the investment firm often reported essential data more than 4 years late<\/h2>\n

This January, the Financial Industry Regulatory Authority (FINRA) fined<\/span><\/a> investment bank and wealth management firm Oppenheimer & Co. $1.575 million for allegedly failing to report mandatory data, withholding documents in discovery for clients in arbitration, and for failing to apply sales charge waivers to clients. As a part of the settlement agreement, FINRA also ordered the company to pay $1.85 million in restitution to clients.<\/p>\n

According to FINRA, lack of reporting was pervasive throughout the firm<\/h3>\n
Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

FINRA says that the investment firm often reported essential data more than 4 years late This January, the Financial Industry Regulatory Authority (FINRA) fined investment bank and wealth management firm Oppenheimer & Co. $1.575 million for allegedly failing to report mandatory data, withholding documents in discovery for clients in arbitration, and for failing to apply […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588],"tags":[9],"class_list":["post-2563","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","tag-finra"],"yoast_head":"\nFINRA Sanctions Oppenheimer & Co. $3.4 Million for Reporting Violations and More — Securities Arbitration Lawyers Blog — March 6, 2017<\/title>\n<meta name=\"description\" content=\"Check out the new article FINRA Sanctions Oppenheimer & Co. $3.4 Million for 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