Archive

Tag Archives: Martin William Padilla

Oppenheimer Stockbroker Investigated By FINRA For UIT Misconduct

November 04, 2020 | Posted by : Guiliano Law Group | Securities Arbitration Claims, Unit Investment Trusts (UITs) | Comments Off

Martin William Padilla of Los Angeles California a stockbroker formerly registered with Oppenheimer Co. Inc. is referenced in a Financial Industry Regulatory Authority (FINRA) investigation into accusations that Padilla made unsuitable trades of unit investment trusts in customer accounts. Case No. 2018057228701 (Aug. 7, 2020). FINRA Public Disclosure indicates that Department of Enforcement might proceed […]

Disclaimer

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer. Questions or comments regarding the source or accuracy of information, including any subsequent developments, should be directed to: [email protected].

Archive

Oppenheimer Stockbroker Investigated By FINRA For UIT Misconduct

For a Free Evaluation of Your Claim

Call Us Toll Free At:

(877) SEC-ATTY

All Inquires Are Confidential.

See Important Disclaimer

Categories