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Articles Posted in Oppenheimer & Co. Inc.

FINRA Sanctions Oppenheimer $3.75 Million for Failure to Supervise Ex-Broker Mark Hotton
Samuels Yoelin Kantor LLP

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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