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 |
|---|---|---|---|---|---|---|---|---|
| Lawrence R Wilkes | 467113 | 2 | 08/04/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Josette Lee Greechan | 1714280 | 3 | 01/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Alexander Hertl | 2154822 | 5 | 12/13/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Velvet Lillette Groves | 2921105 | 1 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Eric Zuckerman | 1684211 | 1 | 03/03/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Robert Gauster | 2416301 | 6 | 03/03/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Loren Gary Ben | 815757 | 2 | 03/03/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bill Michael Friedrich | 3208059 | 7 | 02/09/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Philllips | 4560689 | 1 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Alexander Hertl | 2154822 | 5 | 08/10/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |