Defendant Name:
Scott A. Eisler
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Scott A. Eisler
First Document Date
23-Jul-2015
Initial Filing Format
Administrative Action
File Number
3-16699
Allegation Type
Broker Dealer
Affiliations
- Former: Registered Investment Adviser at Oppenheimer & Co. Inc. (2007—2011)
- Former: Broker/Registered Representative at Oppenheimer & Co. Inc. (2007—2011)
- Former: Financial Advisor at Oppenheimer & Co. Inc. (2007—2011)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 1 year
- prohibited from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 1 year
First Resolution Date
23-Jul-2015
Headline Total Penalty and Disgorgement
$50,000
