FINRA has agreed to pay a $275k settlement to the US Financial Industry Regulatory Authority (Oppenheimer & Co.) after reports suggesting that it had failed to properly supervise a program that botched thousands of short-interest reports.
Oppenheimer & Co. has agreed to pay a $275k settlement to the US Financial Industry Regulatory Authority (FINRA) after reports suggesting that it had failed to properly supervise a program that botched thousands of short-interest reports.