Tag Archives: Martin William Padilla

Oppenheimer Stockbroker Investigated By FINRA For UIT Misconduct

November 04, 2020  |   Posted by :   |   Securities Arbitration Claims, Unit Investment Trusts (UITs)   |   Comments Off on Oppenheimer Stockbroker Investigated By FINRA For UIT Misconduct

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 […]

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