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...

Valeant Kickback Plot Leads to Convictions in Case

Valeant Kickback Plot Leads to Convictions in Case

Two participants in the Valeant kickback plot who were accused of scheming to tie the two companies together in exchange for a $9.7 million kickback were recently convicted by a Manhattan federal jury. Gary Tanner, a former manager at Valeant...