Oppenheimer

Oppenheimer Fined $3M Over ETF Sales
Risk & Compliance

Oppenheimer Fined $3M Over ETF Sales

FINRA says the money manager sold non-traditional exchange-traded funds to investors who weren't qualified to buy them.
By Matthew Heller | June 8, 2016
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Ex-Pfizer Employee Accused of Insider Trading
Risk & Compliance

Ex-Pfizer Employee Accused of Insider Trading

Michael Maciocio allegedly misused confidential information about potential Pfizer deals to make trades himself and tip off a stockbroker friend.
By Matthew Heller | June 3, 2016
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