Oppenheimer & Co., Inc.
No reply on file from Oppenheimer & Co., Inc. on this matter.
Claims entered
No claim has been entered on this docket.
1 filed · 1 on the record. The chronology below carries every filing, docket event and outcome — open a row there for its source.
Open to posting — anyone may add to this file, subject to the review queue.
The chronology
Gov, Institution and Public name who produced a document; Event marks a thing that happened, not a document.
By when it happened. Rows with no date on their face are shown as undated, not guessed. Hover, focus or tap a row for its full detail.
Opened at stage filed
U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 26435 / December 12, 2025 Securities and Exchange Commission v. Oppenheimer & Co. Inc. , No. 22-cv-07801 (S.D.N.Y. filed Sept. 13, 2022) SEC Obtains Final Consent Judgment as to Oppenheimer & Co. Inc. Regarding Alleged Failure to Comply with Municipal Bond Offering Disclosure Requirements On December 10, 2025, the U.S. District Court for the Southern District of New York entered a final consent judgment in the SEC’s civil enforcement action against New York-based Oppenheimer & Co. Inc.. According to the SEC’s complaint , from June 2017 to April 2022, Oppenheimer sold the relevant municipal bonds in purported reliance on the “limited offering exemption,” which, upon satisfying specific requirements, exempts certain municipal securities offerings from the general requirement of providing disclosures to investors. The complaint alleged that Oppenheimer sold securities in hundreds of municipal offerings in purported reliance on the limited offering exemption when it had not satisfied the exemption requirements. The complaint also alleged that Oppenheimer made deceptive statements to issuers by representing that it would and did comply with the exemption requirements, and that Oppenheimer lacked policies and procedures reasonably designed to ensure that it complied with the limited offering exemption when acting as underwriter in these municipal bond offerings. Without admitting or denying the SEC’s allegations, Oppenheimer consented to the entry of a final judgment permanently enjoining it from violating Rule 15c2-12 of the Securities Exchange Act of 1934, Municipal Securities Rulemaking Board (MSRB) Rules G-17 and G-27, and Exchange Act Section 15B(c)1. The final consent judgment also orders Oppenheimer to pay a $1.2 million civil penalty. The investigation was conducted by Laura Cunningham and supervised by Ivonia Slade and Rebecca Olsen. The litigation was led by Devon Staren and supervised by David Nasse. The SEC appreciates the assistance of the MSRB. Return to top SEC homepage About the SEC Budget & Performance Careers Commission Votes Contact Contracts Transparency Accessibility & Disability Artificial Intelligence FOIA Inspector General No FEAR Act Data Ombuds SEC Excess Personal Property Guidance Websites Investor.gov Related Sites USA.gov Site Information Plain Writing Privacy & Security Site Map Stay connected. Sign up for email updates. Your email address Sign Up X Facebook Instagram RSS YouTube Email Updates
No crime on the record yet.
No statutes on the record yet.
"District Court for the Southern District of New York entered a final consent judgment in the SEC’s civil enforcement action against New York-based Oppenheimer & Co."
No status on the record yet.
No parties on the record yet.
"The final consent judgment also orders Oppenheimer to pay a $1.2 million civil penalty."