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Oppenheimer to pay £20m in penalties

Sec Building

Wall Street broker Oppenheimer & Co. agreed on Tuesday to pay $20 million in penalties after parallel federal probes found its procedures to detect money laundering seriously lacking.

Ex-Oppenheimer fund manager agrees to settle fraud charges

Sec Building

The Securities and Exchange Commission has announced that a former Oppenheimer & Co. portfolio manager has agreed to be barred from the securities industry and pay a $100,000 penalty for making misrepresentations about the valuation of a fund consisting of other private equity funds.

Bond trader fined and suspended

Piggy Bank

David Sirianni, Oppenheimer's head municipal bond trader, was fined $100,000 and suspended for 60 days by the Financial Industry Regulatory Authority for overcharging customers.