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 | 02/14/2018 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Luigi Mazza | 3025837 | 1 | 12/19/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Louis Juliana | 5509770 | 1 | 10/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 10/06/2017 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Cesar Augusto Hurtado | 4137948 | 3 | 09/28/2017 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 09/26/2017 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| David Clyde Pickett | 828986 | 1 | 09/22/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alberto Castaner | 1603341 | 9 | 09/19/2017 | Customer Dispute | Settled | $850,000.00 | $0.00 | See FINRA Report |
| Mayra Alejandra Uribe-Quiceno | 5683969 | 1 | 09/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gail F Perrymason | 1843678 | 8 | 09/05/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |