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 |
|---|---|---|---|---|---|---|---|---|
| Gustavo Santos Miramontes | 2338966 | 13 | 12/20/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gustavo Santos Miramontes | 2338966 | 13 | 12/19/2021 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Gustavo Santos Miramontes | 2338966 | 13 | 12/16/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gustavo Santos Miramontes | 2338966 | 13 | 12/16/2021 | Customer Dispute | Settled | $25,739.40 | $0.00 | See FINRA Report |
| Gustavo Santos Miramontes | 2338966 | 13 | 11/30/2021 | Customer Dispute | Settled | $18,409.80 | $0.00 | See FINRA Report |
| Scott Alan Turcott | 3123428 | 3 | 09/23/2021 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Morton S Tinkelman | 447182 | 2 | 04/12/2021 | Customer Dispute | Settled | $55,245.00 | $0.00 | See FINRA Report |
| Mark Allen Frommer | 1553129 | 6 | 04/01/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Harvey Mark Ross | 1361657 | 1 | 03/16/2021 | Customer Dispute | Settled | $710,695.00 | $0.00 | See FINRA Report |
| Steven R Baaden | 1266766 | 8 | 02/03/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |