SEC sanctions brokers’ texting [Investment Executive - News]
Oppenheimer Holdings, Inc. Class A (DE) (OPY)
US:NYSE Investor Relations:
opco.com/investor-relations/index.aspx
Company Research
Source: Investment Executive - News
A collection of brokerage firms and investment advisers are paying a combined US$81 million and beefing up their compliance to resolve allegations that they violated industry recordkeeping requirements when their employees used unapproved communications methods, such as private texting, to conduct business. The U.S. Securities and Exchange Commission (SEC) settled with 16 firms, including various affiliated brokerage and advisory firms, after the regulator’s investigations found “pervasive and longstanding uses of unapproved communication methods” at all of them. According to the SEC’s orders, the brokerage firms admitted their employees communicated about work through personal text messages. The advisory firms admitted that their employees communicated investment recommendations and advice over text, and that the firms didn’t maintain records of these communications. “By failing to maintain and preserve required records, some of the firms likely deprived the SEC of these off-chann
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OPY
Sec Filings
- 4/29/24 - Form 8-K
- 4/26/24 - Form 8-K
- 4/26/24 - Form 10-Q
- OPY's page on the SEC website