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 |
|---|---|---|---|---|---|---|---|---|
| Ernest Sean Mishne | 2091091 | 4 | 01/20/2020 | Customer Dispute | Award / Judgment | $440,000.00 | $220,542.00 | See FINRA Report |
| Hong Anh McGill | 2075513 | 5 | 01/13/2020 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Alberto Castaner | 1603341 | 9 | 01/08/2020 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Edward Lee Winokur | 2979697 | 3 | 12/09/2019 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Edward Lee Winokur | 2979697 | 3 | 12/06/2019 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Ryan Denault | 6214450 | 1 | 10/31/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen James Connaughton | 2321690 | 3 | 10/15/2019 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Melinda Darlene Sung | 4977496 | 1 | 10/04/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Paul David Babaz | 2373008 | 4 | 10/04/2019 | Employment Separation After Allegations | $0.00 | $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 |