Defendant Name:
Oppenheimer & Co. Inc.
Defendant Type:
Subsidiary of Public Company
Document Reference:
2015-125-Oppenheimer
Document Details
Legal Case Name
In the Matter of Oppenheimer & Co. Inc.
Document Name
SEC Charges 36 Firms for Fraudulent Municipal Bond Offerings
Document Date
18-Jun-2015
Document Format
Administrative Proceeding
Allegation Type
Municipal Securities & Public Pensions
Document Summary
On June 28th, 2015, the SEC charged a number of underwriters for fraudulent offerings of municipal bonds, including Oppenheimer & Co. Inc. The firms all agreed to cease and desist from such violations in the future without admitting or denying the findings of the Commission.
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Compliance Related Independent Consultant
Cooperation Before the Resolution
Self Reporting to SEC