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May 22, 2015 5:15 PM ET

Capital Markets

Company Overview of Oppenheimer & Co. Inc.

Company Overview

Oppenheimer & Co. Inc. offers investment banking, mutual fund advisory, securities research, and asset management services. The company's services include order execution, securities clearing, institutional equity sales and trading, and customer accounting. It deals in stocks, bonds, options and commodities and provides research analysis, investment advice, and support services. The company was founded in 1950 and is based in New York, New York. Oppenheimer & Co. Inc. operates as a subsidiary of Oppenheimer Holdings Inc.

85 Broad Street

New York, NY 10004

United States

Founded in 1950





Key Executives for Oppenheimer & Co. Inc.

Chief Financial Officer and Executive Vice President
Age: 44
Chief Executive Officer of Oppenheimer Investments Asia and President of Oppenheimer Investments Asia
Managing Director of Investments and Area Manager
Head of Technology and Co-Head of Investment Banking
Compensation as of Fiscal Year 2014.

Oppenheimer & Co. Inc. Key Developments

Oppenheimer & Co. Inc. Presents at Spring 2015 ETP Forum NYC, Apr-01-2015 02:20 PM

Oppenheimer & Co. Inc. Presents at Spring 2015 ETP Forum NYC, Apr-01-2015 02:20 PM. Venue: The New York Athletic Club, 180 Central Park South, Between 58 & 59 Streets, New York, NY 10019, United States. Speakers: Jim Dotzman, Director ­ Investments.

FINRA Fines Oppenheimer & Co. Inc. for Supervisory Failures

The Financial Industry Regulatory Authority announced that it has fined Oppenheimer & Co. Inc. $2.5 million and ordered the firm to pay restitution of $1.25 million for failing to supervise Mark Hotton, a former Oppenheimer broker who stole money from his customers and excessively traded their brokerage accounts. FINRA permanently barred Mark Hotton from the securities industry in August 2013. FINRA found that Oppenheimer failed to supervise Hotton in multiple respects. First, Oppenheimer failed to adequately investigate Hotton prior to hiring him, even though FINRA records showed that he was subject to 12 reportable events, including criminal charges and seven customer complaints. The firm also failed to place Hotton under heightened supervision despite learning, shortly after Hotton joined the firm, that his business partners had sued him for defrauding them out of several million dollars. Additionally, Oppenheimer failed to respond to red flags in correspondence and wire transfer requests demonstrating that Hotton was wiring funds from Oppenheimer customer accounts to entities that he owned or controlled. This allowed Hotton to transfer more than $2.9 million from those customers’ accounts. Finally, Oppenheimer failed to adequately supervise Hotton’s trading of his customers’ accounts despite the fact Oppenheimer’s surveillance analysts detected Hotton was trading the accounts at presumptively excessive levels. In addition, FINRA found that Oppenheimer failed to make more than 300 required filings to FINRA about some of its brokers in a timely manner. On average, these filings were 238 days late; and thus, the investing public and other broker-dealers were not timely made aware of serious allegations made against Oppenheimer’s registered representatives, including Hotton. Also, during the course of FINRA’s investigation, Oppenheimer repeatedly failed to provide timely responses to FINRA requests for information and documents.

Oppenheimer & Co. Inc. Investment Banking Division Names Nigel Bell as Managing Director of its Consumer and Retail Team

The Investment Banking division of Oppenheimer & Co. Inc. announced that Nigel Bell has joined the firm as a Managing Director in its Consumer and Retail team. He will be based at the firm's 85 Broad Street New York headquarters. He will report to Bruce McCarthy and Marc Thompson, Managing Directors and Co-Heads of Investment Banking. Bell joins Oppenheimer from Bell Capital Advisory Partners, where he was the Managing Partner and Founder.

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