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 |
| David Earl Tipton | 820601 | 4 | 04/14/2021 | Customer Dispute | Denied | $8,300.00 | $0.00 | See FINRA Report |
| Leonard Joseph Silvester | 2196632 | 5 | 11/05/2020 | Customer Dispute | Denied | $0.00 | $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 |
| Susan L Stephens | 2400351 | 4 | 07/07/2020 | Customer Dispute | Denied | $400,000.00 | $0.00 | See FINRA Report |
| Mark Allen Frommer | 1553129 | 6 | 07/07/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Alan Jaffe | 1340770 | 8 | 06/30/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Walter McGuirk | 2895403 | 1 | 06/03/2020 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Brenda Joette Obrien | 1587005 | 1 | 04/23/2020 | Customer Dispute | Denied | $59,653.10 | $0.00 | See FINRA Report |