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 |
|---|---|---|---|---|---|---|---|---|
| Leonard Joseph Silvester | 2196632 | 5 | 06/11/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Marc Shalmi | 1293269 | 9 | 03/23/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter James Muldowney | 2164998 | 3 | 10/10/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Howard Tate | 1094496 | 5 | 12/22/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Marc Shalmi | 1293269 | 9 | 08/03/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gail F Perrymason | 1843678 | 8 | 04/05/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Alexander Hertl | 2154822 | 5 | 08/13/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Iovino | 1393469 | 7 | 12/10/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lawrence Harold David | 1739405 | 4 | 11/13/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Albert Grinsfelder Lowenthal | 313519 | 1 | 03/26/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |