FINRA Cracks Down on Oppenheimer's Unsuitable Sale of Non-Traditional ETFs

From the Desk of Jim Eccleston at Eccleston Law LLC: Without admitting or denying allegations, Oppenheimer & Co. agreed to pay $2.25 million to FINRA for the unsuitable sales of non-traditional ETFs and the consequential supervisory failures in addition to $716,000 in restitution to the affected clients.Read the full article