Oppenheimer & Co. Inc.

12/20/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050508501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Oppenheimer & Co. Inc., Respondent Member Firm CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Oppenheimer & Co. Inc. (the “firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

Reference 2016050508501finra.orgdata-portal.finra.org

04/10/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050017145-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co. Inc. Respondent Broker/Dealer CRD Number 249 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Oppenheimer & Co. Inc. (the '"firm") submits this Letter of Acceptance

Reference 2005001714501data-portal.finra.orgfinra.org

04/02/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090187015-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co. Inc., Respondent Broker-Dealer CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oppenheimer & Co. Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2009018701501data-portal.finra.orgfinra.org

05/07/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017052438501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Oppenheimer & Co. Inc. (Respondent) Member Firm CRD No. 249 Pursuant to FINRA Rule 9216, Respondent Oppenheimer & Co. Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2017052438501data-portal.finra.orgfinra.org

03/29/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090184287-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co. Inc., Respondent Broker-Dealer CRD No.249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oppenheimer & Co. Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

Reference 2009018428701data-portal.finra.orgfinra.org

11/03/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050017907-01 TO: Department of Market Regulation NASD RE: Oppenheimer & Co. Inc. BD No. 249 Pursuant to Rule 9216 of the NASD Code of Procedure, Oppenheimer & Co. Inc. (the "firm" or "OPCO") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against

Reference 2005001790701data-portal.finra.orgfinra.org

03/26/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017408102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co. Inc., Respondent Member Firm CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Oppenheimer & Co. Inc. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2009017408102data-portal.finra.orgfinra.org

12/06/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 2009081025-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co., Inc., Respondent Broker-Dealer CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oppenheimer & Co., Inc. (the "firm" or "OPCO"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below

Reference 2009018102501data-portal.finra.orgfinra.org

09/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060057396-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co. Inc., Respondent Broker/Dealer CRD No. 249 Pursuant to Rule 9216 of the FINRA Code of Procedure, Oppenheimer & Co. Inc. ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2006005739601data-portal.finra.orgfinra.org

02/19/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110261250-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co., Inc., Respondent Broker-Dealer CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oppenheimer & Co., Inc. ("OPCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2011026125001data-portal.finra.orgfinra.org

09/28/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. OPPENHEIMER & Co. Inc. f/k/a FAHNESTOCK & Co. Inc. CRD NO. 249, RESPONDENT. DISCIPLINARY PROCEEDING No. CE4050002 HEARING OFFICER: AWH ORDFR ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. CE4050002 was filed through a Second Amended Complaint ("Complaint") on September 26, 2006 by the Department of Enforcement of NASD

Reference CE420050002data-portal.finra.orgfinra.org

07/16/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070118783 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co., Inc. Member Firm (CRD No. 249) Pursuant to Rule 9216 of the FINRA Code of Procedure, Respondent Oppenheimer & Co., Inc. ("Oppenheimer" or "Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2007011878301finra.orgdata-portal.finra.org

10/07/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120347132-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co. Inc. ("OPCO"), Respondent Broker-Dealer CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oppenheimer & Co. Inc. ("OPCO," the "firm", or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2012034713201finra.orgdata-portal.finra.org

05/10/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018400501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co. Inc., Respondent Member Firm CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Oppenheimer & Co. Inc. ("Oppenheimer" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2009018400501data-portal.finra.orgfinra.org

08/05/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Oppenheimer & Co., Inc. BD No. 249, Respondent. Disciplinary Proceeding No. 2009018668801 Hearing Officer - LLB ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 5, 2013 INTRODUCTION Disciplinary Proceeding No. 2009018668801 was filed on May 6, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Oppenheimer & Co., Inc. submitted

Reference 2009018668801data-portal.finra.orgfinra.org

06/07/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038180801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co. Inc, (CRD No. 249) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Oppenheimer & Co. Inc. ("Oppenheimer" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013038180801data-portal.finra.orgfinra.org

12/21/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009509501 TO: Department of Enforcement ("Enforcement") Financial Industry Regulatory Authority (''FINRA") RE: Oppenheimer & Co. Inc. ("Oppenheimer" or the "Firm"), Respondent Registration Status: Member of FINRA (f/k/a NASD) since at least 1955; member of New York Stock Exchange LLC ("NYSE") since 1982. CRD No. 249 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, the Firm submits this Letter of Acceptance,

Reference 2007009509501data-portal.finra.orgfinra.org

01/02/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100215969-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co. Inc., Respondent Broker-Dealer CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oppenheimer & Co. Inc. (the ''firm'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2010021596901data-portal.finra.orgfinra.org

07/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090182613-01 TO: Department of Market Regulation Financial Industry Regulation Authority ("FINRA") RE: Oppenheimer & Co. Inc., Respondent Broker-Dealer CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oppenheimer & Co. Inc. ("OPCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below

Reference 2009018261301data-portal.finra.orgfinra.org

10/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20080136300-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Oppenheimer & Co. Inc., Respondent Broker-Dealer CRD No. 249 Pursuant to FINRA Role 9216 of FINRA's Code of Procedure, Oppenheimer & Co. Inc. (the "firm"), submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2008013630001data-portal.finra.orgfinra.org

06/01/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130388691-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA'') RE: Oppenheimer & Co. Inc., Respondent Broker-Dealer CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oppenheimer & Co. Inc. (the "firm" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2013038869101data-portal.finra.orgfinra.org

02/03/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102003017701 TO: Department of Enforcement NASD RE: Oppenheimer & Co. Inc., Respondent [CRD No. 249] Pursuant to Rule 9216 of NASD Code of Procedure, Oppenheimer & Co. Inc. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging

Reference E102003017701data-portal.finra.orgfinra.org

10/29/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO 20130377924-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co. Inc., Respondent, Broker-Dealer CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oppenheimer & Co. Inc. ("OPCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose

Reference 2013037792401data-portal.finra.orgfinra.org

05/04/2026: From at least January 2006 to the present, Oppenheimer sent an estimated 167,000 account statements to more than 800 customers that misidentified collateralized mortgage obligations (CMOs) issued by private·entities (private label CMOs) as government agency bonds or corporate bonds. By making misleading statements in communications with customers, the firm violated NASD Rules 2210(d)(l) and 2110 and FINRA Rules 2210(d)(l) and 2010. The firm also violated NASD Rules 3110 and 2110 and FINRA Rules 4511 and 2010 by maintaining inaccurate customer account statements.

Reference 2023077058901data-portal.finra.orgfinra.org

01/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025957001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co., Inc., Respondent CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Oppenheimer & Co., Inc. ("Oppenheimer" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2011025957001data-portal.finra.orgfinra.org

06/30/2006: NASD LETTER OF ACCEPTANCE. WAIVER AND CONSENT 20050002356-01 TO: Department of Market Regulation NASD RE: Oppenheimer & Co. Inc., Respondent Broker-Dealer CRD No. 249 Pursuant to Rule 9216 of NASD Code of Procedure, Oppenheimer & Co. Inc. ("OPCO") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, ifaccepted, NASD will not bring any future

Reference 2005000235601data-portal.finra.orgfinra.org

12/22/2015: FINANCIAL, INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140418328-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co. Inc., Respondent Broker-Dealer CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oppenheimer & Co. Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014041832801data-portal.finra.orgfinra.org

12/30/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050948101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Oppenheimer & Co. Inc., Respondent Member Firm CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Oppenheimer & Co. Inc. ("Oppenheimer" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2016050948101finra.orgdata-portal.finra.org

10/16/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060059062-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co., Inc., Respondent Broker-Dealer CRD No. 249 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Oppenheimer & Co., Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2006005906201data-portal.finra.orgfinra.org

06/20/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OFACCEPTANCE, WAIVER AND CONSENT NO, 20130387252-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co. Inc., Respondent Broker-Dealer CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Prooedure, Oppenheimer & Co. Inc. (''OPCO", the ''firm", or ''Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC') for the purpose of proposing a settlement of the alleged rule

Reference 2013038725201data-portal.finra.orgfinra.org

10/30/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS Department of Enforcement, Disciplinary Proceeding No. 2005000316701 Complainant, v. OPPENHEIMER & CO. INC. (CRD NO. 249) AND Respondents. Hearing Officer AWH ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 30, 2007 INTRODUCTION Disciplinary Proceeding No. 2005000316701 was filed on January 9, 2006 by the Department of Enforcement of the Financial

Reference 2005000316701finra.orgdata-portal.finra.org

11/07/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046355401 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Oppenheimer & Co. Inc., Respondent CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oppenheimer & Co., Inc. ("Oppenheimer," the "Firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2015046355401data-portal.finra.orgfinra.org

11/24/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140410532-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co. Inc., Respondent Broker-Dealer CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oppenheimer & Co. Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2014041053201data-portal.finra.orgfinra.org

01/09/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0400720002 TO: Department of Enforcement NASD RE: Oppenheimer & Co., Inc., Respondent BD No. 249 Pursuant to Rule 9216 of NASD Code of Procedure, Oppenheimer & Co., Inc. ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against

Reference EAF0400720002finra.orgdata-portal.finra.org

04/22/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057952801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Oppenheimer & Co. Inc. (Respondent) Member Firm CRD No. 249 Pursuant to FINRA Rule 9216, Respondent Oppenheimer & Co. Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2018057952801finra.orgdata-portal.finra.org

12/22/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038149001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Oppenheimer & Co., lnc., Respondent Broker-Dealer CRD No. 249 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oppenheimer & Co., Inc. ("Oppenheimer" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2013038149001data-portal.finra.orgfinra.org