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 |
|---|---|---|---|---|---|---|---|---|
| Edward Lee Winokur | 2979697 | 3 | 12/09/2019 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Edward Lee Winokur | 2979697 | 3 | 12/06/2019 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Stephen James Connaughton | 2321690 | 3 | 10/15/2019 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Jose R Jaunarena Ferrari | 4058515 | 9 | 09/30/2019 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Mark Allen Frommer | 1553129 | 6 | 09/18/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 08/23/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Cesar Augusto Hurtado | 4137948 | 4 | 08/14/2019 | Customer Dispute | Settled | $1,700,000.00 | $0.00 | See FINRA Report |
| Walter Alan Cooper | 1161357 | 4 | 07/31/2019 | Customer Dispute | Settled | $42,000.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 07/30/2019 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Sayke Robert Reilley | 2814096 | 3 | 06/28/2019 | Customer Dispute | Withdrawn | $24,000.00 | $0.00 | See FINRA Report |