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US SEC says 16 firms fined more than $81 mln for recordkeeping failures [Reuters]

Oppenheimer Holdings, Inc. Class A (DE)  (OPY) 
US:NYSE Investor Relations: opco.com/investor-relations/index.aspx
PDF The agency announced the civil penalties against five broker-dealers, seven dual registered broker-dealers and investment advisers, and four affiliated investment advis [Read more]