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 |
|---|---|---|---|---|---|---|---|---|
| Richard Phillip Anthony | 1811812 | 3 | 04/26/1995 | Customer Dispute | Settled | $3,800,000.00 | $0.00 | See FINRA Report |
| Scott Shulman | 1091024 | 5 | 03/28/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald William Fox | 1219273 | 11 | 03/23/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James George Stames | 815044 | 1 | 03/13/1995 | Customer Dispute | Settled | $49,000.00 | $0.00 | See FINRA Report |
| Mark Allen Frommer | 1553129 | 6 | 03/07/1995 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Scott Shulman | 1091024 | 5 | 01/05/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Shulman | 1091024 | 5 | 12/08/1994 | Customer Dispute | Award / Judgment | $0.00 | $310,000.00 | See FINRA Report |
| Daniel Hernan Vatterott | 1263265 | 4 | 11/11/1994 | Customer Dispute | Settled | $71,039.00 | $0.00 | See FINRA Report |
| Louis Aloysius Conyard | 1352456 | 2 | 11/08/1994 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Jeffrey Sy Rubenstein | 850152 | 8 | 11/03/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |