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 |
---|---|---|---|---|---|---|---|---|
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 |
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 |
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 |
David Alexander Hertl | 2154822 | 5 | 08/10/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |