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 |
|---|---|---|---|---|---|---|---|---|
| John Marion Hopper | 2552575 | 1 | 04/08/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Willcox Keith Bailey | 1052935 | 2 | 10/10/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin Lyle Daniel | 2631877 | 2 | 08/10/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jane Wasserstrom | 869389 | 2 | 02/27/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Luigi Mazza | 3025837 | 1 | 12/19/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Clyde Pickett | 828986 | 1 | 09/22/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Marc Levin | 6449669 | 1 | 08/24/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sean C Sill | 1960536 | 5 | 07/07/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Arthur Allen | 2287824 | 4 | 04/04/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Allen Duane O'Brian | 350309 | 2 | 02/02/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |