UNITED STATES

-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, ElzBLfrMXma2TXUMPEq8QD0rZxfuTWrfh57ZhnAXajFJtD8FTvurXjeYf01LiYiV SX6PulouB/4X4GsSYMtJOQ== 0000791963-07-000013.txt : 20071227 0000791963-07-000013.hdr.sgml : 20071227 20071227172842 ACCESSION NUMBER: 0000791963-07-000013 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071221 ITEM INFORMATION: Other Events FILED AS OF DATE: 20071227 DATE AS OF CHANGE: 20071227 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OPPENHEIMER HOLDINGS INC CENTRAL INDEX KEY: 0000791963 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 980080034 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-12043 FILM NUMBER: 071329826 BUSINESS ADDRESS: STREET 1: SUITE 1110, P.O. BOX 2015 STREET 2: 20 EGLINTON AVE. WEST CITY: TORONTO STATE: A6 ZIP: M4R 1K8 BUSINESS PHONE: (416)322-1515 MAIL ADDRESS: STREET 1: PO BOX 2015 SUITE 1110 STREET 2: 20 EGLINTON AVENUE WEST CITY: TORONTO STATE: A6 ZIP: M4R 1K8 FORMER COMPANY: FORMER CONFORMED NAME: FAHNESTOCK VINER HOLDINGS INC DATE OF NAME CHANGE: 19950725 FORMER COMPANY: FORMER CONFORMED NAME: VINER E A HOLDINGS LTD DATE OF NAME CHANGE: 19880622 FORMER COMPANY: FORMER CONFORMED NAME: GOLDALE INVESTMENTS LTD DATE OF NAME CHANGE: 19861030 8-K 1 f122707.htm UNITED STATES

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d)

OF THE SECURITIES EXCHANGE ACT OF 1934

Date of Report (date of earliest event reported): December 21, 2007

Commission File Number 1-12043

OPPENHEIMER HOLDINGS INC.

Canada 98-0080034

(State of incorporation) (IRS employer identification number)

PO Box 2015, Suite 1110

20 Eglinton Avenue West

Toronto Ontario Canada M4R 1K8

(Address of principal executive offices) (Zip code)

(416) 322-1515

(Registrant’s telephone number, including area code)

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.

On December 17, 2007, the Company’s main operating subsidiary, Oppenheimer & Co. Inc. (“Oppenheimer”) submitted an Acceptance, Waiver & Consent (“AWC”) to the Financial Industry Regulatory Authority (“FINRA”) to settle any charges that may have been brought by FINRA in connection with the previously reported investigation into certain market timing activities conducted by several former Oppenheimer employees working out of a single branch office. On December 21, 2007, the AWC was accepted by FINRA. Pursuant to the AWC, Oppenheimer agreed to accept a censure, to pay a fine of $250,000 and to make a compensatory payment in an aggregate amount of $4,250,000 to certain mutual funds identified and set forth in a schedule to the AWC within thirty days.

As previously reported, the Company had set aside sufficient amounts to fully reserve for this matter.

SECTION 9 – FINANCIAL STATEMENTS AND EXHIBITS

ITEM 9.01. Financial Statements and Exhibits

None

SIGNATURES

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.

Date: December 27, 2007

By: "E.K. Roberts"

---------------------------------

E.K. Roberts

President and Treasurer

(Duly Authorized Officer and

Principal Financial Officer)

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