• SEC Charges Oppenheimer With Securities Law Violations Related to Improper Penny Stock Sales
  • SEC Sanctions UBS Financial Services, Oppenheimer & Co., J.P. Morgan Securities, and 10 Others for Improper Sales of Puerto Rico Junk Bonds
  • Sonn Law Group Investigating Claims Involving Former Oppenheimer Broker Mark Hotton (West Islip, New York)
  • FINRA Charges Former Morgan Keegan, Oppenheimer Broker Jeremy G. Tintle with Selling Unapproved Investment and Converting Customer Funds