Defendant Name:
Oppenheimer & Co. Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Oppenheimer Holdings, Inc
SIC Code:
6211
CUSIP:
68379710
Initial Case Details
Legal Case Name
In the Matter of Oppenheimer & Co., Inc.
First Document Date
03-Nov-2014
Initial Filing Format
Administrative Action
File Number
3-16243
Allegation Type
Municipal Securities & Public Pensions
Violations Alleged
•
Section 15B(c)(1) Exchange Act; MSRB Rule G-15(f)
Resolutions
First Resolution Date
03-Nov-2014