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 |
|---|---|---|---|---|---|---|---|---|
| Alberto Castaner | 1603341 | 9 | 10/29/2018 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Jose R Jaunarena Ferrari | 4058515 | 9 | 10/29/2018 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Amber Dawn McCleerey | 6598525 | 1 | 10/19/2018 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Kathleen C Sandlin | 6146533 | 1 | 10/19/2018 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Willcox Keith Bailey | 1052935 | 1 | 10/10/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Randy Ray Bray | 4695066 | 1 | 10/06/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Martin Lewis Waldman | 4566228 | 8 | 10/05/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul J Colligan | 1611890 | 4 | 10/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jose R Jaunarena Ferrari | 4058515 | 9 | 09/28/2018 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Gail F Perrymason | 1843678 | 8 | 09/21/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |