{"id":1561,"date":"2014-12-10T19:37:21","date_gmt":"2014-12-10T19:37:21","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2014\/12\/sec_headlines_regulator_probes"},"modified":"2022-04-12T13:32:43","modified_gmt":"2022-04-12T18:32:43","slug":"sec-headlines-regulator-probes","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/sec-headlines-regulator-probes\/","title":{"rendered":"SEC Headlines: Regulator Probes Oppenheimer Executive, Prepares Insider Trading Case Against Policy Research Firm, & Wants to Suspend Standard & Poor\u2019s From Rating CMBSs"},"content":{"rendered":"

SEC Investigating Ex-Oppenheimer Executive for Securities Law Violations<\/strong><\/p>\n

According to Bloomberg.com, Robert Okin, Oppenheimer & Co.’s (OPY)<\/a> former retail brokerage head, is under investigation by the Securities and Exchange Commission. In October, the agency’s enforcement division notified Okin that, based on a preliminary determination, it intended to file charges against him for securities law violations, including failure to supervise.<\/p>\n

Okin is no longer with Oppenheimer. He resigned earlier this month to pursue “other interests.” Okin denies violating the Securities Exchange Act.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

SEC Investigating Ex-Oppenheimer Executive for Securities Law Violations According to Bloomberg.com, Robert Okin, Oppenheimer & Co.’s (OPY) former retail brokerage head, is under investigation by the Securities and Exchange Commission. In October, the agency’s enforcement division notified Okin that, based on a preliminary determination, it intended to file charges against him for securities law violations, […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3820,3754,3811,3753,3786,3801,3760,3741],"tags":[3462,2802,3237,2859,3136,2961,2602],"class_list":["post-1561","post","type-post","status-publish","format-standard","hentry","category-citigroup","category-goldman-sachs-1","category-insider-trading","category-mortgage-backed-securities","category-oppenheimer","category-sec","category-sec-enforcement","category-securities-fraud","tag-citibank","tag-cmbs","tag-goldman-sachs","tag-insider-trading","tag-oppenheimer","tag-sec","tag-stock-act"],"yoast_head":"\nSEC Headlines: Oppenheimer Executive Probe & Much More | SSEK 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