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 |
|---|---|---|---|---|---|---|---|---|
| Rodney Frederick Nock | 726178 | 1 | 11/29/2022 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Orourke | 1644712 | 2 | 05/24/2022 | Customer Dispute | Denied | $314,002.00 | $0.00 | See FINRA Report |
| Christopher Michael Lazos | 4563160 | 1 | 04/21/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Luis A Garcia | 4143376 | 1 | 01/27/2022 | Customer Dispute | Denied | $74,000.00 | $0.00 | See FINRA Report |
| Anita Marie Daguilar | 1726303 | 3 | 01/03/2022 | Customer Dispute | Denied | $44,089.00 | $0.00 | See FINRA Report |
| David Earl Tipton | 820601 | 4 | 04/14/2021 | Customer Dispute | Denied | $8,300.00 | $0.00 | See FINRA Report |
| Leonard Joseph Silvester | 2196632 | 4 | 11/05/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Turcott | 3123428 | 3 | 10/06/2020 | Customer Dispute | Denied | $100,914.00 | $0.00 | See FINRA Report |
| James Sander Ries | 861845 | 1 | 10/06/2020 | Customer Dispute | Denied | $100,914.00 | $0.00 | See FINRA Report |
| Horacio Gomez-Rabago | 4437037 | 7 | 08/11/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |