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Rating:Oppenheimer Hands Docs Over Not Rated 1.0 Email Routing List Email & Route  Print Print
Thursday, August 05, 2004

Oppenheimer Hands Docs Over

by: Theresa Sim

Oppenheimer Holdings officials disclosed in a second quarter earnings filing that they have been responding to SEC inquiries regarding Opperheimer's brokerage and clearing operations.

As part of the response, Oppenheimer officials have answered "several" document requests.

While admitting that a "very limited number" of Oppenheimer brokers may have engaged in the unnamed activities being examined by the SEC, officials denied that there was evidence proving that Oppeheimer employees late traded.

Officials also noted that the SEC has not formally investigated the company, although Oppenheimer conducted its own review. 

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