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 |
|---|---|---|---|---|---|---|---|---|
| Serafin Paed Aquino | 1603285 | 4 | 04/08/2003 | Customer Dispute | Award / Judgment | $135,000.00 | $66,100.00 | See FINRA Report |
| Jeffrey William Young | 1520934 | 1 | 03/24/2003 | Customer Dispute | Award / Judgment | $65,000.00 | $10,282.00 | See FINRA Report |
| Matthew Alan Steinfeld | 1470209 | 4 | 10/02/2002 | Customer Dispute | Award / Judgment | $498,000.00 | $24,432.30 | See FINRA Report |
| Serafin Paed Aquino | 1603285 | 4 | 09/03/2002 | Customer Dispute | Award / Judgment | $321,000.00 | $15,500.00 | See FINRA Report |
| Ralph Kevin Crovo | 871247 | 1 | 11/09/2001 | Customer Dispute | Award / Judgment | $1,231,620.00 | $280,000.00 | See FINRA Report |
| Eric Robert Bartok | 2380133 | 5 | 10/17/2001 | Customer Dispute | Award / Judgment | $100,000.00 | $77,262.80 | See FINRA Report |
| Ernest Sean Mishne | 2091091 | 4 | 07/23/2001 | Customer Dispute | Award / Judgment | $525,000.00 | $275,000.00 | See FINRA Report |
| Ernest Sean Mishne | 2091091 | 4 | 03/16/2001 | Customer Dispute | Award / Judgment | $750,000.00 | $275,000.00 | See FINRA Report |
| Richard O Stocke | 2882423 | 1 | 05/25/2000 | Customer Dispute | Award / Judgment | $0.00 | $402,604.00 | See FINRA Report |
| Ronald William Fox | 1219273 | 11 | 10/18/1999 | Customer Dispute | Award / Judgment | $78,325.00 | $22,000.00 | See FINRA Report |