Oppenheimer & Co. Inc.– Failure to Establish, Maintain and Enforce a Reasonably-designed Supervisory System

Oppenheimer & Co. Inc. Allegedly Failed to Establish, Maintain and Enforce a Reasonably-designed Supervisory System Oppenheimer & Co. Inc. failed to establish, maintain and enforce a reasonably-designed supervisory system, according to a recent FINRA Letter of Acceptance, Waiver, and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker. Oppenheimer,  from August 4,… Read more »

Source Capital Group Sanctions — Selling Corporate Bonds at Unfair Prices

Source Capital Group Allegedly Sold Corporate Bonds at Unfair Prices Source Capital Group, from April 1, 2013 through June 30, 2013, allegedly sold corporate bonds to customers at unfair prices, when taking into consideration all relevant circumstances, according to recent FINRA Letter of Acceptance, Waiver and Consent (AWC). All such relevant circumstances, according to the AWC,… Read more »