Oppenheimer支付单位投资信托费用|投资者律师

FINRA命令Oppenheimer支付380万美元

Oppenheimer＆Co。（OPY）必须向可能必须为其联合投资信托（UITS）的早期翻车支付超额销售费用的客户支付超过380万美元的赔偿金。该订单来自金融行业监管机构（FINRA），包括$ 80万美元的罚款，无法合理监督这些早期UIT翻车。

The self-regulatory organization (SRO) contends that from 1/2011 to 12/2015 of the $6.4B of United Investment Trust transactions that Oppenheimer executed, $753.9M of these were early rollovers.

什么是单位投资信托？

UITs allow investors to have a stake in a set portfolio of securities that end on a certain maturity date. They are usually long-term investments with maturity dates of up to 2 years. An investor that rolls over a UIT earlier than the maturity date may end up having to pay higher sales charges. This means such a course of action may not be suitable for every type of investor.

According to FINRA, Oppenheimer did not properly监督这些翻滚交易和经纪交易商缺乏一种监督系统，该系统的设计方式足够合理，可以准确监督早期的单位投资信托转售是否适合客户。

由于这一监督不足，SRO认为，Oppenheimer客户可能已收取超过380万美元的销售费用，如果他们登上UIT，直到他们达到成熟日期，他们就不必支付。

不合适的UIT建议

一位经纪人建议客户选择早期的UIT转盘，并可能指责交易导致过多和不必要的费用，并指控不适合投资者的最大利益。如果此举不适合他们，他们的投资组合以及他们可以承担的风险程度，则尤其如此。

同时，经纪公司应该适当监督其经纪人以及他们推荐和授权的交易。

投资欺诈律师

At Shepherd Smith Edwards and Kantas (SSEK Law Firm), our Unit Investment Trust fraud attorneys represent clients throughout the US who have suffered unnecessary losses because of the inappropriate recommendations of a broker and his/her firm.

如果您怀疑与Oppenheimer经纪人合作时，您会收取不必要的费用或其他损失的费用，contact SSEK今天律师事务所安排您的免费，无义务案件咨询。