{"id":2974,"date":"2015-08-11T00:00:00","date_gmt":"2015-08-11T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/boca-raton-oppenheimer-employees-settle-sec-investigation\/"},"modified":"2015-08-11T00:00:00","modified_gmt":"2015-08-11T04:00:00","slug":"boca-raton-oppenheimer-employees-settle-sec-investigation","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/boca-raton-oppenheimer-employees-settle-sec-investigation\/","title":{"rendered":"Boca Raton Oppenheimer Employees Settle SEC Investigation"},"content":{"rendered":"<p><h2><a href=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Boca-Raton-Oppenheimer-Employees-Settle-SEC-Investigation.jpg\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"aligncenter size-large wp-image-1664\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Boca-Raton-Oppenheimer-Employees-Settle-SEC-Investigation-1024x711.jpg\" alt=\"Boca Raton Oppenheimer Employees Settle SEC Investigation by silverlaw.com\" width=\"1024\" height=\"711\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Boca-Raton-Oppenheimer-Employees-Settle-SEC-Investigation-1024x711.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Boca-Raton-Oppenheimer-Employees-Settle-SEC-Investigation-300x208.jpg 300w\" sizes=\"auto, (max-width: 1024px) 100vw, 1024px\" \/><\/a>Each faces a one-year suspension for alleged unregistered sale of penny stocks<\/h2>\n<\/p>\n<p>On Thursday, the Securities and Exchange Commission announced settlements in the cases of three Oppenheimer &amp; Co. employees in Boca Raton, Florida. Scott A. Eisler, Arthur M. Lewis and Robert Okin allegedly were involved in the unregistered sale of more than 2.5 billion shares of penny stocks for a customer in 2009 and 2010.<\/p>\n<p>The investigation alleges that Eisler should have conducted an inquiry into the customer\u2019s trading activity, as it raised red flags that could point to illegal activity. <a href=\"http:\/\/www.sec.gov\/litigation\/admin\/2015\/33-9868.pdf\"  target=\"_blank\">According to the SEC,<\/a> the proceeds from these transactions amounted to about $12 million, with Oppenheimer making more than $588,000 in commissions.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/boca-raton-oppenheimer-employees-settle-sec-investigation\/\"  title=\"Continue Reading Boca Raton Oppenheimer Employees Settle SEC Investigation\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Each faces a one-year suspension for alleged unregistered sale of penny stocks On Thursday, the Securities and Exchange Commission announced settlements in the cases of three Oppenheimer &amp; Co. employees in Boca Raton, Florida. Scott A. Eisler, Arthur M. Lewis and Robert Okin allegedly were involved in the unregistered sale of more than 2.5 billion [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578,583,603],"tags":[499,83],"class_list":["post-2974","post","type-post","status-publish","format-standard","hentry","category-all-releases","category-sec-actions","category-sec-investor-tips","tag-failure-to-supervise-2","tag-sec-investigation"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Boca Raton Oppenheimer Employees Settle SEC Investigation &#8212; Securities Arbitration Lawyers Blog &#8212; August 11, 2015<\/title>\n<meta name=\"description\" content=\"check out the blog on Boca Raton Oppenheimer Employees Settle SEC Investigation on silverlaw.com.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/boca-raton-oppenheimer-employees-settle-sec-investigation\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Boca Raton Oppenheimer Employees Settle SEC Investigation &#8212; 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