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 |
|---|---|---|---|---|---|---|---|---|
| Luis Alberto Rosario | 4593449 | 21 | 05/11/2020 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Brenda Joette Obrien | 1587005 | 1 | 04/23/2020 | Customer Dispute | Denied | $59,653.10 | $0.00 | See FINRA Report |
| Maurice Gordon Stuffmann | 439058 | 3 | 04/20/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Allan Bittermann | 1081760 | 2 | 04/20/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Kenneth Louderbaugh | 1282165 | 2 | 03/25/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Alan Jaffe | 1340770 | 8 | 03/17/2020 | Customer Dispute | Denied | $79,000.00 | $0.00 | See FINRA Report |
| Peter Henry Wagner | 1003080 | 5 | 03/02/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ernest Sean Mishne | 2091091 | 4 | 01/20/2020 | Customer Dispute | Award / Judgment | $440,000.00 | $220,542.00 | See FINRA Report |
| Hong Anh McGill | 2075513 | 5 | 01/13/2020 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Alberto Castaner | 1603341 | 9 | 01/08/2020 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |