Oppenheimer & Co.

New York - The National Association of Securities Dealers filed charges against Oppenheimer regarding reporting inaccuracies to the Municipal Securities Rulemaking Board in May and June 2003. The case claimed the company failed to maintain electronic communications in a manner prescribed under Securities and Exchange Commission rules from July 2002 through the first quarter of 2004, as well as its policies and procedures related to these matters. Oppenheimer has agreed to review, modify and enhance certain supervisory procedures as well as pay an $800,000 fine. (Oct-04-06) [STREET INSIDER: OPPENHEIMER]

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