FINRA announced on March 26, 2015 that it had fined brokerage firm Oppenheimer & Co. Inc. $2.5 million and ordered it to pay $1.25 million in restitution based on failing to supervise its former registered representative Mark Hotton. Hotton was permanently barred from the securities industry in August, 2013 after stealing money from his clients…
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Advocates for Investors
Advocates for Investors