Oppenheimer & Co.

Complaint "to recover in excess of $12,000,000 in fees and expenses due to Oppenheimer by HCSL in connection with investment banking advice and services" in Oppenheimer & Co. Inc. v. Hub Cyber Security (Israel) Ltd. at the U.S. District Court for the Southern District of New York.

Ex Parte Application by Shira Israella Klein-Bentsur to take discovery from Keryx Biopharmaceuticals Inc., Urogen Pharma Ltd., XTL Biophannaceuticals LLC, Nextgen Healthcare Information Systems LLC, E-QURE Corp., Stemline Therapeutics, Inc., Citibank N.A., HSBC Bank Plc, JPMorgan Chase & Co., TD Bank, N.A., Bank Leumi, Merrill Lynch, Wells Fargo, Oppenheimer & Co., UBS AG, Bank of New York Mellon, ABN AMRO Securities LLC, First Trade Union Bank, Bank of Ireland, Santander Bank, N.A., RBC Capital Markets, and Cornick, Garber & Sandler, LLP for use in legal proceedings in Israel involving Ron Bentsur, filed at the U. S. District Court for the Southern District of New York.

Petition to Confirm Arbitration Award in Rong de Investments Ltd. v. GFS Investments, Inc. at the U. S. Southern Court for the Southern District of New York.

New York-based broker-dealer Oppenheimer & Co. has agreed to be fined $20 million by federal regulators for violating securities and anti-money laundering laws while servicing Bahamas-based broker-dealer Gibraltar Global Securities, Inc. and another client.

Complaint in U. S. Securities and Exchange Commission v. Gibraltar Global Securities Inc. and Warren A. Davis at the U. S. District Court for the Southern District of New York.

Criminal Information in USA v. Mark Britain and Paul Ubsdell at the U. S. District Court for the District of New Hampshire.