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Power utility bond investors score win against Puerto Rico law
Investors including OppenheimerFunds and Franklin Resources have convinced a judge that bankruptcy law and the U.S. Constitution should prevail.
Oppenheimer to pay $20M for penny stock violations
Broker-dealer to pay $20 million over a failure to prevent suspicious penny stock trading and pump-and-dump schemes.
SEC penalizes 13 firms for improper sales of Puerto Rican bonds
The SEC cracks down on financial firms, including Schwab, J.P. Morgan Securities, Lebenthal, Oppenheimer, TD Ameritrade, UBS and Wedbush for selling risky debt beneath the minimum allotment of $100,000 for a single transaction.
Oppenheimer Holdings beset by regulatory investigations
Firm sets aside more than $12 million in light of enforcement actions from the SEC, Finra and Treasury Department.
The 3 variables to forging “bulletproof” relationships
All of us operate from the same relationship hierarchy both personally and professionally. That hierarchy is illustrated below:
Defining “what you do” to engage the client's head and heart
In the most recent episode when Ken was asked to define his value proposition, he like most of his peers stumbled on the “um…what do I do…” followed by a long and awkward pause. If Ken wants to truly differentiate himself from the crowd, he must craft a value proposition and begin to articulate it
4 steps to strengthening your business foundation and growing your practice
Now before Ken begins looking at forming a team to both attract and retain a more sophisticated clientele, he needs to do a little housecleaning. If the underlying structure of the business can be best described as “controlled chaos”, it makes no sense at this point to bring in a team member, ...
The Three Tanks That Drive Exceptional Performance: Time, Energy and Attitude
In the first episode for Season 2 of Practice Makeover, it appears that Ken is grappling with the "E-Myth”. This is the concept articulated by the legendary Michael Gerber, which stands for the "entrepreneurial myth": that because you have a "technical skill" (a doctor that knows medicine, an ...
While 'doing business today' begin to 'build your business' for tomorrow
As I travel around the country speaking at major industry conferences I often like to open with a question, "who do you think will be your biggest competitor over the next 5 to 10 years"? The answers always tend to be one of the major wire house or independent firms. I then click the button on my
OppenheimerFunds loses more bond bets
Muni bond funds rocked by big bets on Puerto Rican debt, stirring up memories of 2008.
Oppenheimer's risky bond bets backfire — again
OppenheimerFunds' municipal bond funds have been rocked by big bets on Puerto Rican debt, stirring up memories of its Core Bond Fund's disastrous 2008. Jason Kephart has the story.
OppenheimerFunds raids rival in bid to add value to value funds
Spahr, three other Columbia Funds vets, sign on; 'no room for closet indexers'
Acquisition will give Oppenheimer foothold in MLP space
OppenheimerFunds announced plans to acquire SteelPathCapital, which has $2.6 billion in assets and a seven-year track record in the master limited patnership space.
OppenheimerFunds misled investors about souped-up funds: SEC
Firm allegedly failed to disclose use of derivatives in two funds adequately; agrees to pay $35M to settle the charges
Oppenheimer fund solicitation challenged in investor lawsuit
The Oppenheimer Holdings solicitation allegedly overstated the value of holdings in the Global Resource Private Equity Fund, described in a private placement memorandum as a fund of funds intending to invest in natural resource-related companies.