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 |
|---|---|---|---|---|---|---|---|---|
| Maurice Gordon Stuffmann | 439058 | 3 | 04/20/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Allan Bittermann | 1081760 | 2 | 04/20/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Kenneth Louderbaugh | 1282165 | 2 | 03/25/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alberto Castaner | 1603341 | 9 | 01/08/2020 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Jose R Jaunarena Ferrari | 4058515 | 9 | 09/30/2019 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 08/23/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Cesar Augusto Hurtado | 4137948 | 4 | 08/14/2019 | Customer Dispute | Settled | $1,700,000.00 | $0.00 | See FINRA Report |
| Walter Alan Cooper | 1161357 | 4 | 07/31/2019 | Customer Dispute | Settled | $42,000.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 07/30/2019 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 06/18/2019 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |