MutualFundWire.com
The insiders' edge for 40 Act industry executives!
an InvestmentWires' Publication
an InvestmentWires' Publication
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|
MutualFundWire.com
The insiders' edge for 40 Act industry executives!
an InvestmentWires' Publication |
|
Thursday, August 5, 2004 Oppenheimer Hands Docs Over Oppenheimer Holdings officials disclosed in a second quarter earnings filing that they have been responding to SEC inquiries regarding Opperheimer's brokerage and clearing operations. As part of the response, Oppenheimer officials have answered "several" document requests. While admitting that a "very limited number" of Oppenheimer brokers may have engaged in the unnamed activities being examined by the SEC, officials denied that there was evidence proving that Oppeheimer employees late traded. Officials also noted that the SEC has not formally investigated the company, although Oppenheimer conducted its own review. Printed from: MFWire.com/story.asp?s=7762 Copyright 2004, InvestmentWires, Inc. All Rights Reserved |