Our Staff has compiled our research into a database of FINRA Broker Disclosures for Oppenheimer & Co. Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Ernest Sean Mishne | 2091091 | 4 | 01/20/2020 | Customer Dispute | Award / Judgment | $440,000.00 | $220,542.00 | See FINRA Report |
| Alberto Ottaviani | 2918377 | 2 | 06/27/2017 | Customer Dispute | Award / Judgment | $500,000.00 | $40,000.00 | See FINRA Report |
| James William Forsythe | 1038986 | 6 | 12/20/2016 | Customer Dispute | Award / Judgment | $2,000,000.00 | $0.00 | See FINRA Report |
| Lawrence Robert Yerkees | 1283322 | 1 | 02/23/2016 | Customer Dispute | Award / Judgment | $55,000.00 | $23,650.00 | See FINRA Report |
| Jay Martin Spieler | 1072642 | 1 | 05/29/2015 | Customer Dispute | Award / Judgment | $325,850.00 | $0.00 | See FINRA Report |
| Timothy James Shocklee | 2323754 | 2 | 05/30/2012 | Customer Dispute | Award / Judgment | $736,653.00 | $0.00 | See FINRA Report |
| Eric Robert Gauster | 2416301 | 6 | 03/12/2012 | Customer Dispute | Award / Judgment | $169,812.00 | $451,760.00 | See FINRA Report |
| Dean McPherson Smith | 1710830 | 1 | 09/27/2010 | Customer Dispute | Award / Judgment | $160,000.00 | $54,123.40 | See FINRA Report |
| Loren Gary Ben | 815757 | 2 | 01/29/2010 | Customer Dispute | Award / Judgment | $4,000,000.00 | $1,112,500.00 | See FINRA Report |
| David Alan Kaslow | 2102487 | 1 | 01/06/2010 | Customer Dispute | Award / Judgment | $1,075,000.00 | $290,625.00 | See FINRA Report |