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3 年前
BRIEF-Oppenheimer to pay $20 mln to resolve US probes into penny stock sales, admits wrongdoing
2015年1月27日 / 下午3点13分 / 3 年前

BRIEF-Oppenheimer to pay $20 mln to resolve US probes into penny stock sales, admits wrongdoing

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Jan 27 (Reuters) - Oppenheimer Holdings Inc : * SEC says charges Oppenheimer & co with violating federal securities laws over

improper penny stock sales, says Oppenheimer agreed to admit wrongdoing and

pay $10 million to settle * SEC says Oppenheimer also agrees to pay additional $10 million to settle

parallel action by treasury department's financial crimes enforcement network * SEC says Oppenheimer Holdings Inc unit aided and abetted illegal

activity by a Bahamas brokerage, gibraltar global, that was a customer and

was not registered to do business in U.S. * SEC says Oppenheimer failed to file suspicious activity reports as required

under bank secrecy act

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