Stockbroker Misconduct and Investment Fraud Blog

Oppenheimer Client Receives $800,000 FINRA Award

Oppenheimer Client Receives $800,000 FINRA Award

The Financial Industry Regulatory Authority Inc. (FINRA) has found that Oppenheimer & Co. executed unauthorized and unsuitable trades in a client’s account resulting in a FINRA award for the client. The client, Robert Dekas, alleged that...