the frankowski firm short term trading

The Financial Industry Regulatory Authority (“FINRA”) has fined and sanctioned Oppenheimer & Co., Inc. for failing to supervise short-term trading in Unit Investment Trusts (“UITs”).

A Unit Investment Trust (“UIT”) is an SEC-registered investment company that offers investors shares or “units” in a fixed portfolio of securities in a one-time public offering. Click the link below to our blog to learn more:

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