UPDATE 1-US SEC says 16 firms fined more than $81 mln for recordkeeping failures [Yahoo! Finance]
Oppenheimer Holdings, Inc. Class A (DE) (OPY)
US:NYSE Investor Relations:
opco.com/investor-relations/index.aspx
Company Research
Source: Yahoo! Finance
Securities and Exchange Commission on Friday said 16 firms will pay more than $81 million to settle charges for widespread recordkeeping failures. The agency announced the civil penalties against five broker-dealers, seven dual registered broker-dealers and investment advisers, and four affiliated investment advisers. The 16 firms admitted the facts, the SEC said in a statement, and have begun improving compliance policies and procedures. "The SEC's investigations uncovered pervasive and longstanding uses of unapproved communication methods, known as off-channel communications, at all 16 firms," the SEC statement said. The firms admitted that employees "communicated through personal text messages about the business of their employers" and "sent and received off-channel communications related to recommendations made or proposed to be made and advice given or proposed to be given," the SEC said. The firms include Northwestern Mutual Investment Services LLC, Guggehnheim Securit
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News
- Oppenheimer Holdings' (NYSE:OPY) Dividend Will Be $0.15 [Yahoo! Finance]Yahoo! Finance
- I'm a Financial Advisor: 5 Money-Saving Tips From Your Grandparents' Generation That Still Work Today [Yahoo! Finance Canada]Yahoo! Finance Canada
- I'm a Financial Advisor: 5 Money-Saving Tips From Your Grandparents' Generation That Still Work Today [Yahoo! Finance]Yahoo! Finance
- Oppenheimer Holdings Inc. (NYSE: OPY) was upgraded by analysts at StockNews.com from a "buy" rating to a "strong-buy" rating.MarketBeat
- Oppenheimer Holdings First Quarter 2024 Earnings: EPS: US$2.50 (vs US$1.32 in 1Q 2023) [Yahoo! Finance]Yahoo! Finance
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