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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Hong Anh McGill | 2075513 | 5 | 01/13/2020 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| 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 |
| Mark Allen Frommer | 1553129 | 6 | 09/18/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Henry Wagner | 1003080 | 5 | 03/27/2019 | Customer Dispute | Denied | $215,722.00 | $0.00 | See FINRA Report |
| James Yoo | 2427808 | 1 | 03/26/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carlos A Guerra | 4393628 | 1 | 03/04/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |