Type not stated
Screen this subjectFahnestock & Co. Inc.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/17/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. OPPENHEIMER & CO. INC. (BD NO. 249), Respondent. Disciplinary Proceeding No. CMS040156 HEARING OFFICER: FITZGERALD May 17, 2005 ORDER ACCEPTING OFFER OF SETTLEMENT
Reference CMS040156data-portal.finra.orgfinra.org
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