The Financial Industry Regulatory Authority fined Oppenheimer & Co. Inc. $1.575 Million and ordered the firm to pay $1.85 million to customers for failing to report required information to FINRA, failing to produce documents in discovery to customers who filed arbitrations, and for not applying applicable sales charge waivers to customers. For more info visit https://www.finra.org/media-center/news-releases/2016/finra-sanctions-oppenheimer-co-34-million-reporting-violations-failing