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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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 on Oppenheimer Stockbroker Investigated By FINRA For UIT Misconduct