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: Securities Law Prof Blog

Massachusetts Securities Division Charges Oppenheimer in ARS Downstream Sales and Inside Trading

By Securites Lawprof

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The Massachusetts Securities Division brought an administrative complaint charging Oppenheimer & Co. and several of its executives with violations of the Massachusetts securities law in connection with its "downstream" sales of auction rate securities (ARS). The complaint alleges that Oppenheimer...

Full post as published by Securities Law Prof Blog on November 23, 2008 (boomark / email).

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