This excerpt taken from the OPY 8-K filed Aug 3, 2006.
New York Stock Exchange Investigation referenced as In the Matter of Michael Sassano (market timing matter).
NASD Disciplinary Proceeding No. 2005000316701-Department of Enforcement v. Oppenheimer & Co. Inc. and Albert Grinsfelder Lowenthal (Mutual Fund Breakpoint Case).
NASD Disciplinary Proceeding No. CE4050002 Department of Enforcement v. Oppenheimer & Co. Inc. (Municipal Bond and Email Case).