$716,000
Investment Misconduct - Unsuitable Investments
Case results are sourced directly from attorney websites by Injuria.ai's data infrastructure, which actively monitors 22,000+ personal injury law firms. They are not results obtained by ThatCarHitMe.com. Prior results do not guarantee a similar outcome.
Case Details
FINRA ordered Oppenheimer & Co., Inc. to pay restitution of more than $716,000 to customers who were sold unsuitable leveraged, inverse, and inverse-leveraged exchange-traded funds (ETFs).
Additional Notes
FINRA fined Oppenheimer & Co., Inc. $2.25 million and ordered restitution of more than $716,000 to customers for unsuitable ETF sales.
More Results from The Law Offices of Timothy J. O’Connor & Stockbroker LawThe results shown are not necessarily representative of all results obtained by this firm.
$40.0M
Insurance Misconduct - Unclaimed Death Benefits
$8.7M
Investment Misconduct - Mutual Fund Overcharges
$6.3M
Investment Misconduct - Mutual Fund Overcharges
$5.0M
Investment Misconduct - Securities Fraud
$5.0M
Whistleblower Award - Securities Fraud
$3.5M
Whistleblower Award - Securities Fraud
Represented By
The Law Offices of Timothy J. O’Connor & Stockbroker Law
Top Rated Personal Injury Law Firms in Albany, NY
Compare firms ranked by Google Reviews.
View Top Rated Firms