Stockbroker Misconduct and Investment Fraud Blog

Oppenheimer Fined for Misleading Investors

On March 11, 2013, the Securities and Exchange Commission (“SEC”) announced that it charged two investment advisers at Oppenheimer & Co. with misleading investors about the valuation policies and performance of a private equity...

Unlicensed investment adviser receives sentence

Understanding the financial markets may seem like a foreign language for many Florida readers. For that reason, individuals who wish to plan for their future often place their trust in a financial planner, adviser or stockbroker. That trust comes...