frankowski firm

Category: investment fraud lawyer

Supervisory failure leads to $500K fine by FINRA: An insight into Oppenheimer & Co. Case

securities fraud lawyer (FINRA)

In a wake up call for broker-dealers, the Financial Industry Regulatory Authority (FINRA) has slapped a whopping fine of $500,000 on Oppenheimer & Co. for failing to properly supervise certain trades. As reported, Oppenheimer’s brokers are under target for directly placing trades with fund companies on behalf of customers without requisite inspection bringing the supervisory […]

Category: investment fraud lawyer

Supervisory failure leads to $500K fine by FINRA: An insight into Oppenheimer & Co. Case

securities fraud lawyer (FINRA)

In a wake up call for broker-dealers, the Financial Industry Regulatory Authority (FINRA) has slapped a whopping fine of $500,000 on Oppenheimer & Co. for failing to properly supervise certain trades. As reported, Oppenheimer’s brokers are under target for directly placing trades with fund companies on behalf of customers without requisite inspection bringing the supervisory […]

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