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 |
|---|---|---|---|---|---|---|---|---|
| Steven R Baaden | 1266766 | 9 | 02/14/2024 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Christopher Michael Lazos | 4563160 | 2 | 01/31/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Christopher Michael Lazos | 4563160 | 2 | 01/16/2024 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |
| E Matthew Steinberg | 2430032 | 1 | 11/15/2023 | Customer Dispute | Pending | $2,500,000.00 | $0.00 | See FINRA Report |
| Kevin Monaco | 2119652 | 4 | 11/13/2023 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Ronald Thomas Ochal | 2245000 | 2 | 11/10/2023 | Customer Dispute | Denied | $20,188.70 | $0.00 | See FINRA Report |
| Randy Farzin Moshtael | 1036474 | 3 | 11/03/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Adam Manna Quarello | 4461542 | 7 | 10/10/2023 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Brian Keith Werdesheim | 2351265 | 4 | 09/12/2023 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Ann Louise Greene | 1616048 | 3 | 08/28/2023 | Customer Dispute | Pending | $5,473,610.00 | $0.00 | See FINRA Report |