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 |
|---|---|---|---|---|---|---|---|---|
| David C Vanech | 5195259 | 2 | 07/14/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ivan Shore | 1012943 | 1 | 11/06/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Christopher Dickstein | 5458365 | 3 | 09/16/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Demos Argyros | 1325219 | 6 | 01/24/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David C Vanech | 5195259 | 2 | 09/20/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Howard Jarrell | 5265165 | 4 | 05/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul J Colligan | 1611890 | 4 | 10/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Louis Juliana | 5509770 | 1 | 10/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mayra Alejandra Uribe-Quiceno | 5683969 | 1 | 09/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Sullivan | 6702191 | 2 | 08/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |