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 |
---|---|---|---|---|---|---|---|---|
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 | 9 | 02/03/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
David Robert Burke | 815091 | 3 | 01/29/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Jeffrey Thomas Montville | 2037595 | 2 | 01/21/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Lawrence Harkavy | 2218203 | 1 | 01/15/2021 | Customer Dispute | Settled | $24,380.00 | $0.00 | See FINRA Report |
James Arthur Allen | 2287824 | 4 | 10/13/2020 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
Russell Ogan | 1517211 | 1 | 05/14/2020 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
Luis Alberto Rosario | 4593449 | 21 | 05/11/2020 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |