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 |
|---|---|---|---|---|---|---|---|---|
| Luis Alberto Rosario | 4593449 | 21 | 08/23/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Cesar Augusto Hurtado | 4137948 | 3 | 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 |
| Elsa Patricia Liunto-Costa | 7012533 | 1 | 07/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Robert Bartok | 2380133 | 5 | 07/23/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sayke Robert Reilley | 2814096 | 3 | 06/28/2019 | Customer Dispute | Withdrawn | $24,000.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 06/18/2019 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Richard Stearns Alles | 1098698 | 1 | 06/14/2019 | Customer Dispute | Denied | $409,000.00 | $0.00 | See FINRA Report |
| Chad Edward Allen | 2712784 | 2 | 05/17/2019 | Customer Dispute | Settled | $190,463.00 | $0.00 | See FINRA Report |