Subject: Peter Oppenheimer

Subject of Interest

Peter Oppenheimer has been on the Board of Directors of Goldman Sachs since 2014. He previously retired from Apple, Inc. as Senior Vice President in 2014. He was also the Divisional Chief Financial Officer, Finance, MIS, Administration and Equipment Leasing Portfolio at Automatic Data Processing, Inc. (ADP), and a Consultant, Information Technology Practice at Coopers & Lybrand, LLP (1988-1992).  Oppenheimer graduated from California Polytechnic State University and the Leavey School of Business, University of Santa Clara. 


Goldman Sachs

Subject: Mark Kaplan

Subject of Interest

Mark Kaplan is a Senior Managing Director and Chief Operating Officer of Cantor Fitzgerald & Co. Prior to that position, Kaplan was the General Counsel for Société Générale for the Americas, leading its Legal and Compliance departments. Before joining Société Générale, he was the General Counsel for CIBC World Markets Corp.’s U.S. operations,  and previously served as the Director of Litigation at Oppenheimer & Co., Inc. Mr. Kaplan holds a B.A. from Bucknell University, where he graduated Magna Cum Laude and Phi Beta Kappa, and a J.D.  from Columbia University Law School.

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Fined: Oppenheimer & Co. Inc. Fined by FINRA


Oppenheimer & Co. Inc. Fined by FINRA

An AWC was issued in which the firm was censured, fined $85,000 and required to revise its WSPs. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to record Not Held terms and conditions on its order memoranda for institutional customers of one of the firm’s trading desks and for those orders it transmitted reports to the Order Audit Trail System (OATS™) that failed to contain the Not Held special handling code.

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