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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Lyle Daniel | 2631877 | 2 | 08/10/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Betty Rodriguez | 1859215 | 5 | 08/10/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Baines Iglow | 2783963 | 9 | 07/11/2018 | Customer Dispute | Withdrawn | $300,000.00 | $0.00 | See FINRA Report |
| Michael Howard Rosenmayer | 2352488 | 23 | 07/11/2018 | Customer Dispute | Withdrawn | $300,000.00 | $0.00 | See FINRA Report |
| Gail F Perrymason | 1843678 | 8 | 07/10/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alberto Castaner | 1603341 | 9 | 07/03/2018 | Customer Dispute | Settled | $1,075,000.00 | $0.00 | See FINRA Report |
| Charles Marc Shalmi | 1293269 | 9 | 06/22/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Sy Rubenstein | 850152 | 8 | 06/21/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Alberto Castaner | 1603341 | 9 | 06/11/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael Howard Rosenmayer | 2352488 | 23 | 05/24/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |