SEC v. Oppenheimer & Co. Inc., Southern District of New York (Dec. 12, 2025) — Complaint
raw: against Oppenheimer & Co. Inc. (“Oppenheimer” or “Defendant”), alleges as follows:
against Oppenheimer & Co. Inc. (“Oppenheimer” or “Defendant”), alleges as follows: (Dec. 12, 2025)
Exhibit of Oppenheimer & Co., Inc.
Classified unregistered-securities(confidence 95%). EDGAR detection: forms Form D/S-1· recall 41% / precision 30%. detection rule →
Statutes
15 U.S.C. § 78o-4(c)15 U.S.C. § 78aa(a)15 U.S.C. § 78u(d)17 C.F.R. § 240.15c2-12
Parties
Securities and Exchange CommissionOppenheimer & Co. Inc.
Keywords
oppenheimersecuritieslimited offeringoffering exemptionmunicipal securitiesmunicipalofferinglimitedexemptionofferingsinvestmentinvestment advisersdocument pagebuyingrequirements
Extracted insights
Entities 3
- person municipal securities issuers
- company Oppenheimer & Co. Inc.
- agency Securities and Exchange Commission
Triples 8
- Securities And Exchange Commission alleges against Oppenheimer & Co. Inc.
- Oppenheimer & Co. Inc. sold securities in at least 354 municipal offerings
- Oppenheimer & Co. Inc. failed to satisfy the Limited Offering Exemption requirements
- Oppenheimer & Co. Inc. made deceptive statements to municipal securities issuers
- Oppenheimer & Co. Inc. realized at least $1,938,580 in net profits
- Oppenheimer & Co. Inc. violated Securities Exchange Act of 1934 Rule 15c2-12
- Oppenheimer & Co. Inc. violated Municipal Securities Rulemaking Board Rules G-17 and G-27
- Oppenheimer & Co. Inc. lacked policies and procedures reasonably designed to ensure compliance with the Limited Offering Exemption
Text layers
Extracted body text (140c)
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