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Oppenheimer Holdings Under Regulators’ Microscopes

Friday, Aug 08 2014

Regulatory & Compliance

Written by PFA News

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Broker-dealer Oppenheimer Holdings has disclosed that it is under investigation by three different regulators for matters related to money laundering, penny stock sales, record keeping and supervising of a former broker. So reports Reuters.

The regulators are the Financial Industry Regulatory Authority, the Securities and Exchange Commission and the Justice Department.

Read the full article from Reuters.

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