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 |
|---|---|---|---|---|---|---|---|---|
| Mark Allen Frommer | 1553129 | 6 | 12/03/2021 | Customer Dispute | Denied | $700,000.00 | $0.00 | See FINRA Report |
| Julia Patricia Flores | 5755798 | 1 | 09/16/2021 | Customer Dispute | Final | $20,000.00 | $0.00 | See FINRA Report |
| Darryl Jadwick Lynch | 1313519 | 3 | 07/21/2021 | Customer Dispute | Withdrawn | $25,789.30 | $0.00 | See FINRA Report |
| David Earl Tipton | 820601 | 4 | 04/14/2021 | Customer Dispute | Denied | $8,300.00 | $0.00 | See FINRA Report |
| Morton S Tinkelman | 447182 | 2 | 04/12/2021 | Customer Dispute | Settled | $55,245.00 | $0.00 | See FINRA Report |
| Mark Allen Frommer | 1553129 | 6 | 04/01/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Harvey Mark Ross | 1361657 | 1 | 03/16/2021 | Customer Dispute | Settled | $710,695.00 | $0.00 | See FINRA Report |
| Steven R Baaden | 1266766 | 9 | 02/03/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Robert Burke | 815091 | 3 | 01/29/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Thomas Montville | 2037595 | 2 | 01/21/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |