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Tag Archives: Penny Stock Laundering

SEC Fines Broker $10 Million for Laundering Penny Stocks

By Gregory Tendrich, P.A. | Posted on February 27, 2015

On January 27th, the U.S. Securities and Exchange Commission said New York-based broker Oppenheimer & Co., Inc., admitted to multiple violations of federal securities laws and agreed to pay a $10 million civil penalty. The SEC’s order cited two series of illegal activities by Oppenheimer. Both involved Oppenheimer acting as an intermediary for unregistered… Read More »

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