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 |
|---|---|---|---|---|---|---|---|---|
| Harvey Mark Ross | 1361657 | 1 | 03/16/2021 | Customer Dispute | Settled | $710,695.00 | $0.00 | See FINRA Report |
| Aaron Dale Chamberlin | 2433292 | 2 | 03/03/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Hernan Vatterott | 1263265 | 4 | 02/17/2021 | Employment Separation After Allegations | $0.00 | $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 |
| Ivan Shore | 1012943 | 1 | 11/06/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leonard Joseph Silvester | 2196632 | 5 | 11/05/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Arthur Allen | 2287824 | 4 | 10/13/2020 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |