March 27, 2015 BY Andrew Saks-McLeod

The behavior of one broker costs Oppenheimer & Co $3.75 million in fines and restitution

FINRA shows its regulatory prowess as Oppenheimer & Co is landed with a $2.5 million fine and a $1.25 million restitution order after broker Mark Hotton stole money from his customers and excessively traded their accounts

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