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 |
|---|---|---|---|---|---|---|---|---|
| George W Fellows | 1085138 | 4 | 03/17/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Christopher Dickstein | 5458365 | 3 | 02/06/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Herbert Spencer Thornton | 1218939 | 3 | 11/27/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Gironta | 1814837 | 1 | 10/08/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Shulman | 1091024 | 5 | 01/24/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sally Yiping Shi | 4512452 | 2 | 03/02/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Alan Jaffe | 1340770 | 8 | 06/09/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Edward Roden | 402187 | 2 | 06/17/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Francis Hayes | 2938688 | 2 | 10/16/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Frederick Schaefer | 2125180 | 2 | 10/11/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |