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 |
|---|---|---|---|---|---|---|---|---|
| Martin Lewis Waldman | 4566228 | 8 | 06/09/2017 | Customer Dispute | Withdrawn | $1,500,000.00 | $0.00 | See FINRA Report |
| David Phillip Brandt | 28908 | 4 | 05/11/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dawn M Ehret | 5149505 | 2 | 05/01/2017 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Peter Paul Rembalsky | 2185734 | 5 | 05/01/2017 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Ralph Milburn Jones | 860887 | 2 | 04/17/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gail F Perrymason | 1843678 | 8 | 04/10/2017 | Customer Dispute | Withdrawn | $40,000.00 | $0.00 | See FINRA Report |
| James Arthur Allen | 2287824 | 3 | 04/04/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Demos Argyros | 1325219 | 6 | 04/03/2017 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Paul Allan McFeeley | 1478424 | 2 | 03/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anita Marie Daguilar | 1726303 | 3 | 03/15/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |