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Category: Oppenheimer & Co.

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Horizon Private Equity Loss Recovery Lawyer | John J. Woods Ponzi Scheme

Update 6/10/2022: The SEC files enforcement actions against Michael Mooney, Britt Wright and Penny Flippen. Lawsuits target Horizon Private Equity and John Woods Ponzi scheme. The Wolper Law Firm has filed several arbitration claims with the Financial Industry Regulatory Authority (“FINRA”) on behalf of victims of the alleged Ponzi scheme perpetrated by John Woods, a […]

FINRA Fines Multiple Brokerage Firms For Short Term Trading In Unit Investment Trusts

The Financial Industry Regulatory Authority (FINRA) has completed its sweep of broker-dealers’ unlawful sales practices relating to unit investment trusts, and as a result, issued fines to several of them. Areas of concern to FINRA included suitability, supervision, and excessive trading in violation of FINRA Rules. What is a Unit Investment Trust (UIT) A Unit […]

Oppenheimer & Co., Inc. Financial Advisor Jeffrey Warren Barred Indefinitely by FINRA After Failing to Participate in Investigation of Firm Policy Violations

Jeffrey Warren (CRD#: 2707969) was previously a dually registered Broker and Investment Advisor at Oppenheimer & Co., Inc. in Boca Raton, FL. He entered the securities industry in 1996 and previously worked for Wachovia Securities, LLC; UBS Financial Services, Inc.; and Prudential Securities, Inc. According to publicly available records released by the Financial Industry Regulatory […]

Oppenheimer & Co. Financial Advisor, Ivan Shore, Sanctioned By FINRA For Improper Sales Practices Relating To Unit Investment Trusts

Ivan Shore is a Financial Advisor at Oppenheimer & Co. in New York, NY. Ivan Shore has been in the securities industry since 1981 and previously worked at Gruntal & Co. In November 2020, the Financial Industry Regulatory Authority (FINRA) sanctioned Ivan Shore, suspending him for a period of three months and imposing a fine. […]

Former Oppenheimer & CO Inc. Broker, Matthew Platnico, Has Had Three Customer Complaint Disclosures Since February 2019 Alleging Over $1.7 Million In Damages

Matthew Platnico (CRD# 2102086) is a Financial Advisor at Allied Millennial Partners, LLC in New York, NY. Matthew Platnico has been in the securities industry since 1991 and previously worked at 12 different brokerage firms. Matthew Platnico’s employment history includes Arete Wealth Management, LLC, Oppenheimer & Co. Inc., Advest, Inc., and Wachovia Securities, LLC. According […]

Former Oppenheimer And Current RBC Capital Markets Financial Advisor, Frederick Levine, Sanctioned By FINRA For Actively Trading Unit Investment Trusts In Client Accounts?

Frederick Levine (Fred Levine) (CRD # 1765119) is a Financial Advisor at RBC Capital Markets in Florham Park, NJ. Fred Levine previously worked for for Oppenheimer & Co. in Florham Park, NJ. According to publicly available records released by the Financial Industry Regulatory Authority (“FINRA”), on August 3, 3030, Fred Levine was sanctioned by FINRA, […]

Former Oppenheimer Broker, Dennis Ayre, Has Had Five Customer Complaint Disclosures Since February 2020

Dennis Ayre (CRD # 5365176) is a previously registered broker at Hilltop Securities Inc. Beverly Hills, CA. Dennis Ayre has been in the securities industry since 2008 and previously worked at Oppenheimer & Company, Inc. and Merrill Lynch, Pierce, Fenner and Smith Inc. According to publicly available records released by the Financial Industry Regulatory Authority […]

Barred Former Oppenheimer Financial Advisor, David Krumrey, Has Six Customer Complaint Disclosures

David Krumrey (CRD # 4121845) was a Financial Advisor at Oppenheimer & Co., Inc. in the Woodlands, Texas. David Krumrey has been in the securities industry since 2000 and previously worked at the Stanford Group Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on January 3, 2018, FINRA sanctioned […]

Oppenheimer & Co. Sanctioned By FINRA For Improper Sales Practices Relating To Unit Investment Trusts

On December 30, 2019, Oppenheimer & Co. became the latest brokerage firm sanctiuoned by FINRA for unlawful sales practices relating to Unit Investment Trusts (UITs”).  Oppenheimer was fined $800,000 and ordered to pay restitution to customers in the amount of $3.87 million.  The alleged misconduct related to short-term transactions in UITs, which are designed to […]