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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Sullivan | 6702191 | 2 | 08/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adam Manna Quarello | 4461542 | 6 | 08/28/2017 | Customer Dispute | Settled | $250,371.00 | $0.00 | See FINRA Report |
| Marc Levin | 6449669 | 1 | 08/24/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Arthur Allen | 2287824 | 3 | 08/23/2017 | Customer Dispute | Settled | $325,000.00 | $0.00 | See FINRA Report |
| Dawn M Ehret | 5149505 | 2 | 08/18/2017 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Peter Paul Rembalsky | 2185734 | 5 | 08/18/2017 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Thomas E Coughlin | 826112 | 1 | 08/18/2017 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Lawrence R Wilkes | 467113 | 2 | 08/04/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sean C Sill | 1960536 | 5 | 07/07/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alberto Ottaviani | 2918377 | 2 | 06/27/2017 | Customer Dispute | Award / Judgment | $500,000.00 | $40,000.00 | See FINRA Report |