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: Securities Law Prof BlogOppenheimer Settles Market-Timing Charges with FINRA
By Securites Lawprof
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FINRA announced today that Oppenheimer & Co. will pay a fine of $250,000 for supervisory and other failures in connection with improper market timing of mutual fund shares from January through September 2003. The firm will also pay $4.25 million...Full post as published by Securities Law Prof Blog on February 21, 2008 (boomark / email).
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