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Oppenheimer to pay $20 mln to settle with U.S. over improper stock sales
2015年1月27日 / 下午3点28分 / 3 年前

Oppenheimer to pay $20 mln to settle with U.S. over improper stock sales

WASHINGTON, Jan 27 (Reuters) - Oppenheimer & Co will pay $20 million to settle two U.S. government cases stemming from allegations the firm improperly sold penny stocks and ignored red flags.

The Securities and Exchange Commission said Oppenheimer will pay $10 million to settle the case with the agency, plus another $10 million to settle parallel charges with the Treasury Department’s Financial Crimes Enforcement Network.

As part of the settlement, the SEC said Oppenheimer is admitting to wrongdoing and will be required to hire an independent consultant to review its policies over a five-year period. (Reporting by Sarah N. Lynch; Editing by Bill Trott)

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