Defendant Name: Oppenheimer & Co. Inc.

Defendant Type: Subsidiary of Public Company

Document Reference: 34-102346

Document Details

Legal Case Name In the Matter of Oppenheimer & Co. Inc.
Document Name Order Granting Extension of Time
Document Date 05-Feb-2025
Document Format Administrative Proceeding
File Number 3-21852
Allegation Type Broker Dealer
Document Summary The Commission ordered that: "the Division shall file its response to the respondent’s motion by February 13, 2025."

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
The Commission ordered that: "the Division shall file its response to the respondent’s motion by February 13, 2025."

Related Documents:

34-99503 09-Feb-2024 Administrative Proceeding
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On February 9, 2024, the SEC instituted administrative and cease-and-desist proceedings against Oppenheimer & Co. Inc., stating: "From at least January 2020, Oppenheimer employees sent and received offchannel communications that related to the business of the broker-dealer. Respondent did not maintain or preserve the substantial majority of these written communications. Respondent’s failure was firm-wide and involved employees at all levels of authority. As a result, Oppenheimer violated Section 17(a) of the Exchange Act and Rule 17a-4(b)(4) thereunder."
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