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Perry v Oppenheimer - $6.1 million ARS Award

In January 2012, a FINRA arbitration panel in New York, NY ordered Oppenheimer to pay Claimants $6.1 million including $134,108 in attorneys' fees over the sale of auction rate securities. The award was made after a hearing wherein the Claimants alleged that Respondents failed to supervise, breached contractual and fiduciary duties and misrepresented the ARS. Dr. O'Neal testified on behalf of the Claimants.

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Eddie O'Neal
Principal336.655.8718