Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Thursday, February 5, 2015

SEC Charges Oppenheimer For Penny Stock Sales


Last week, the Securities and Exchange Commission ("SEC") announced charges against Oppenheimer & Co. for violations of federal securities laws for improperly selling penny stocks in unregistered offerings on behalf of customers. Oppenheime...
http://www.securitieslawyer101.com/2015/sec-charges-oppenheimer-penny-stock-sales/

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