Oppenheimer & Co.—Excessive Trading, Client Fund Misappropriation Charges Against Broker

Cleveland stockbroker fraud attorney

Oppenheimer & Co. Failed to Supervise Broker, Mark Hotton, Who Allegedly Overtraded and Siphoned Funds from Customers, Duped Broadway Producers Oppenheimer failed to supervise Broker, Mark Hotton, who allegedly misappropriated $3 million and churned accounts, according to regulators. Said regulators contend that Hotton allegedly defrauded dozens of clients. According to FINRA, the firm overlooked “red… Read more »