David A. Tufts, of New York, New York, a stockbroker formerly registered with Oppenheimer & Co. Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to provide recorded testimony in a FINRA investigation into allegation of his supervisory misconduct. […]
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Tag Archives: David A. Tufts
Oppenheimer Stockbroker Barred In Investigation
April 20, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Securities Arbitration Claims | 0 Comments