SMITH V. OPPENHEIMER FUNDS DISTRIBUTOR, INC.

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A shareholder of the Oppenheimer Gold & Special Minerals Fund initiated a lawsuit on behalf of the Fund against the trustees of the Fund and the distributor of the Fund (Oppenheimer Funds Distributor). The lawsuit alleged that the defendants approved “asset-based compensation” to broker-dealers holding mutual fund shares in a brokerage account, contrary to the Investment Advisers Act of 1940 and a recent D.C. Circuit Court of Appeals case, Financial Planning Association v. SEC.

 

The plaintiff argued that, under the federal securities laws, broker-dealers may only receive compensation from transactional commissions and may not receive asset-based compensation, unless the broker-dealer is holding the shares in an advisory account subject to the Investment Advisers Act.

 

This lawsuit was filed in U.S. District Court for the District of Colorado. On September 23, 2010, the Court granted the defendants’ Motion to transfer the case to the U.S. District Court for the Southern District of New York. On June 6, 2011, the Court granted a Motion to Dismiss the case filed by the defendants. 

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A shareholder of the Oppenheimer Gold & Special Minerals Fund initiated a lawsuit on behalf of the Fund against the trustees of the Fund and the distributor of the Fund (Oppenheimer Funds Distributor). The lawsuit alleged that the defendants approved “asset-based compensation” to broker-dealers holding mutual fund shares in a brokerage account, contrary to the Investment Advisers Act of 1940 and a recent D.C. Circuit Court of Appeals case, Financial Planning Association v. SEC.

 

The plaintiff argued that, under the federal securities laws, broker-dealers may only receive compensation from transactional commissions and may not receive asset-based compensation, unless the broker-dealer is holding the shares in an advisory account subject to the Investment Advisers Act.

 

This lawsuit was filed in U.S. District Court for the District of Colorado. On September 23, 2010, the Court granted the defendants’ Motion to transfer the case to the U.S. District Court for the Southern District of New York. On June 6, 2011, the Court granted a Motion to Dismiss the case filed by the defendants.