Articles Tagged with Michael Oppenheim

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Michael Jeffrey Oppenheim of Livingston, New Jersey, submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) for failing to provide documents and information and an on-the-record testimony in connection with allegations that he may have converted approximately $20 million of customer funds, altered customer documents, and created false account statements.

FINRA began an investigation into Michael Oppenheim’s termination from his member firm, J.P. Morgan Securities LLC (J.P. Morgan), as well as allegations that he may have converted nearly $20 million of customer funds between March 2011 and March 2015. FINRA was also investigating the alleged altering of customer documents and creation of false account statements by Mr. Oppenheim. Continue reading →