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 |
|---|---|---|---|---|---|---|---|---|
| David Howard Jarrell | 5265165 | 4 | 05/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gustavo Santos Miramontes | 2338966 | 13 | 04/24/2019 | Customer Dispute | Settled | $24,302.80 | $0.00 | See FINRA Report |
| Eric Brian Rosenberg | 1027041 | 6 | 04/11/2019 | Customer Dispute | Withdrawn | $157,466.00 | $0.00 | See FINRA Report |
| John Marion Hopper | 2552575 | 1 | 04/08/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Peter Henry Wagner | 1003080 | 5 | 03/27/2019 | Customer Dispute | Denied | $215,722.00 | $0.00 | See FINRA Report |
| James Yoo | 2427808 | 1 | 03/26/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas Joseph Standish | 2713559 | 1 | 02/26/2019 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| Demos Argyros | 1325219 | 6 | 02/15/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Lori Judith Rappaport-Steiner | 1938873 | 2 | 02/12/2019 | Customer Dispute | Settled | $484,000.00 | $0.00 | See FINRA Report |
| Jodi Lynn Madonna | 2640540 | 1 | 02/12/2019 | Customer Dispute | Settled | $484,000.00 | $0.00 | See FINRA Report |