Oppenheimer & Co, Inc. agreed to pay a fine of US $1.575 million and remediation payments to customers of US $1.846 million to resolve a disciplinary action against it brought by the Financial Industry Regulatory Authority that it failed to report certain required information to FINRA; failed to apply applicable sales charge waivers to its customers; and did not produce relevant documents to customers who had filed arbitrations against it, as required. Among other specific allegations, FINRA claimed that from October 20, 2008, through February 18, 2016, the firm failed to make 365 required reports to it, including reports of disciplinary actions; between January 2009 and August 2016, sold to certain retirement plan and charitable organization customers that were eligible to purchase certain mutual funds without front-end sales charges, shares that had such charges, or with backend sales charges with higher ongoing fees and expenses; and between 2010 and 2013, failed to provide seven arbitration claimants certain responsive documents they requested. Oppenheimer and Co. entered into the settlement with FINRA without admitting or denying any of FINRA’s findings.