Oppenheimer Holdings 8-K 2005
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (date of earliest event reported): December 29, 2005
Commission File Number 1-12043
OPPENHEIMER HOLDINGS INC.
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2.):
|_| Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
|_| Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CRF 240.14a-12)
|_| Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
|_| Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
SECTION 8 OTHER EVENTS
ITEM 8.01. Other Events.
Oppenheimer Holdings Inc. (the Company) today announced that its primary operating subsidiary, Oppenheimer & Co. Inc. (Oppenheimer) has settled various regulatory matters. These settled matters include anti-money-laundering (AML) issues, New York Stock Exchange (NYSE) regulatory examination findings (2003-2005) and National Association of Securities Dealers (NASD) registration (U-4/U-5) issues (pending final NASD approval). The settlements involve total fines of $4.4 million, all of which was fully reserved in the Companys results for the nine months ended September 30, 2005.
SECTION 9 FINANCIAL STATEMENTS AND EXHIBITS
ITEM 9.01. Financial Statements and Exhibits
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Oppenheimer Holdings Inc.