People: Oppenheimer Holdings Inc (OPY.N)

OPY.N on New York Stock Exchange

19.90USD
21 May 2013
Price Change (% chg)

$0.21 (+1.07%)
Prev Close
$19.69
Open
$19.75
Day's High
$19.96
Day's Low
$19.75
Volume
5,468
Avg. Vol
9,785
52-wk High
$21.00
52-wk Low
$13.21

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Summary

Name Age Since Current Position

Albert Lowenthal

 66 1985 Chairman of the Board, Chief Executive Officer

Jeffrey Alfano

 42 2013 Chief Financial Officer, Principal Financial and Accounting Officer

Kenneth McArthur

 76 Lead Independent Director

Elaine Roberts

 60 2013 Director

Richard Crystal

 71 1992 Independent Director

William Ehrhardt

 68 2008 Independent Director

Michael Keehner

 68 2008 Independent Director

A. Winn Oughtred

 1979 Independent Director
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Biographies

Name Description

Albert Lowenthal

 Mr. Albert G. Lowenthal is Chairman of the Board, Chief Executive Officer of Oppenheimer Holdings Inc. Mr. Lowenthal is Chairman of the Board and Chief Executive Officer of the Company, positions he has held since 1985. Mr. Lowenthal has worked in the securities industry since 1967. Mr. Lowenthal’s experience in the securities industry and as Chief Executive of Company gives him unique insights into the Company’s challenges, opportunities and operations. Since his arrival at the Company, Mr. Lowenthal has built the Company through acquisition and organic growth taking stockholders’ equity from $5.0 million to $513.4 million at December 31, 2011.

Jeffrey Alfano

 Mr. Jeffrey Alfano is Chief Financial Officer, Principal Financial and Accounting Officer of Oppenheimer Holdings Inc. He has been appointed as Principal Financial and Accounting Officer of the Company effective March 29, 2013. Mr. Alfano has been Executive Vice President and the Chief Financial Officer of Oppenheimer & Co. Inc. since April 2006 and Chief Financial Officer of the Company since May 2011. Mr. Alfano also serves as a member of Oppenheimer’s Management, Risk Management, Credit, Financial Reporting, International, and New Products Committees. Prior to joining Oppenheimer, Mr. Alfano was an audit partner with Deloitte & Touche LLP where he spent 14 years in Deloitte’s securities industry practice serving clients by providing audit and business advisory services out of their New York, Tokyo and Seattle offices. Mr. Alfano has an undergraduate degree from Michigan State University and an MBA from Columbia University. Mr. Alfano is a member of the Financial Management Society of the Securities Industry and Financial Markets Association (SIFMA), the American Institute of Certified Public Accountants, and the New York State Society of Certified Public Accountants, and sits on the AICPA Stockbrokerage and Investment Banking Expert Panel.

Kenneth McArthur

 Mr. Kenneth W. McArthur is Lead Independent Director of Oppenheimer Holdings Inc. Mr. McArthur is President and Chief Executive Officer of Shurway Capital Corporation (a private investment company). Mr. McArthur is a member of the Institute of Chartered Accountants of British Columbia. Mr. McArthur has a long history of securities industry experience, serving as CFO of a Canadian investment dealer for 20 years. Between July 1989 and January 1993, Mr. McArthur was a Senior Vice-President of Nesbitt Thomson Inc. and between January 1992 and July 1993, Mr. McArthur was a Senior Vice-President of Bank of Montreal Investment Counsel Limited. Mr. McArthur was a member of the Independent Review Committee for BMO Mutual Fund for 15 years until June 30, 2010 and was a member of the Pension Investment Committee for Canada Post for 10 years until December 31, 2010.

Elaine Roberts

 Ms. Elaine K. Roberts is Director of Oppenheimer Holdings Inc. She served as President, Principal Financial and Accounting Officer, Treasurer of the Company. Ms. Roberts is a member of the Institute of Chartered Accountants of Ontario

Richard Crystal

 Mr. Richard Crystal is Independent Director of Oppenheimer Holdings Inc, since 1992. At present, he is Counsel to Seyfarth Shaw LLP (law firm), and previously was Counsel to Thelen LLP and a Partner at predecessor Brown Raysman Millstein Felder& Steiner LLP (law firm) 2001 – 2008, practicing real estate law. Mr. Crystal’s legal background brings governance, legal and business skills to Board, important to the oversight of the Company’s legal concerns, governance policies and procedures and enterprise and operational risk management.

William Ehrhardt

 Mr. William Ehrhardt is Independent Director of OppenHeimer Holdings inc. He is a retired senior audit partner formerly with Deloitte & Touche, New York with over 30 years of professional experience primarily in the banking and securities and insurance industries. Clients served include The Equitable Companies Inc., Marsh & McLennan, First Boston Corporation and Merrill Lynch. In addition, Mr. Ehrhardt participated in numerous firm-wide initiatives relating to audit practice and related quality control matters and served as Partner in Charge of the Tri-State Financial Services Assurance and Advisory Practice. Mr. Ehrhardt is a Certified Public Accountant and a member of the AICPA.

Michael Keehner

 Mr. Michael A. M. Keehner is Independent Director of Oppenheimer Holdings Inc. At present, he is an Adjunct Professor of Finance and Economics and a Faculty Leader at the Sanford C. Bernstein & Co. Center for Leadership and Ethics at Columbia Business School and a consultant. Mr. Keehner has a long history of financial services industry management and professional experience. Previously, Mr. Keehner served in various capacities at Kidder, Peabody Group for more than 20 years, leaving in 1994 as a member of its Executive and Audit Committees and Board of Directors, as well as Executive Managing Director of Kidder, Peabody and Co., Inc. in charge of its domestic brokerage system. Earlier positions included President of Kidder, Peabody International Corporation, and President and CEO of KP Exploration Inc., Kidder’s oil and gas exploration arm.

A. Winn Oughtred

 Mr. A. Winn Oughtred is Independent Director of Oppenheimer Holdings Inc. Mr. Oughtred joined the Board in 1979. Mr. Oughtred, now retired, was Counsel from January 1, 2009 to May 31, 2009 and prior to December 31, 2008 a Partner at Borden Ladner Gervais LLP (law firm). Mr. Oughtred practiced corporate law. Mr. Oughtred brings governance, legal, business and financial industry knowledge to Board, important to the oversight of the Company’s financial reporting, enterprise and operational risk management and governance policy. Mr. Oughtred is a director of CI Financial Corp., the shares of which are listed on the Toronto Stock Exchange, and Belmont House. Mr. Oughtred is certified as an Institute of Corporate Directors (Canada) certified director (ICD.D).

Basic Compensation

Name Fiscal Year Total

Albert Lowenthal

 1,448,550

Jeffrey Alfano

 1,060,700

Kenneth McArthur

 --

Elaine Roberts

 658,400

Richard Crystal

 --

William Ehrhardt

 --

Michael Keehner

 --

A. Winn Oughtred

 --
As Of 30 Dec 2011

Options Compensation

Name Options Value

Albert Lowenthal

 350,000 689,500

Jeffrey Alfano

 0 0

Kenneth McArthur

 0 0

Elaine Roberts

 160,000 1,567,650

Richard Crystal

 0 0

William Ehrhardt

 0 0

Michael Keehner

 0 0

A. Winn Oughtred

 0 0

Insider Trading

Name Shares Traded Price

MCARTHUR KENNETH W

 550 $0.00

EHRHARDT WILLIAM

 550 $0.00

CRYSTAL RICHARD P

 550 $0.00

OUGHTRED A WINN

 550 $0.00

KEEHNER MICHAEL A M

 550 $0.00

ALFANO JEFFREY J

 1,124 $0.00

MCNAMARA DENNIS P

 562 $0.00

OUGHTRED A WINN

 1,300 $0.00
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