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FINRA Sanctions Oppenheimer Stockbroker For Unsuitable Recommendations

August 27, 2020 | Posted by : Guiliano Law Group | Excessive Trading, Unit Investment Trusts (UITs), Unsuitable Investment Recommendations | Comments Off

Frederick Scott Levine of Florham Park New Jersey a stockbroker formerly registered with Oppenheimer Co. Inc. has been suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Levine made unsuitable rollovers of unit investment trusts in Oppenheimer customer accounts. Letter of Acceptance Waiver […]

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FINRA Sanctions Oppenheimer Stockbroker For Unsuitable Recommendations

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