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 |
|---|---|---|---|---|---|---|---|---|
| Arthur Alexander Caione | 2200691 | 1 | 03/15/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mitchell Hal Reback | 1109591 | 1 | 03/09/2017 | Customer Dispute | Denied | $83,031.00 | $0.00 | See FINRA Report |
| Jerald Jay Hymen | 1379370 | 6 | 03/07/2017 | Customer Dispute | Settled | $42,250.00 | $0.00 | See FINRA Report |
| Allen Duane O'Brian | 350309 | 2 | 02/02/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Josette Lee Greechan | 1714280 | 3 | 01/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alberto Castaner | 1603341 | 9 | 01/17/2017 | Customer Dispute | Settled | $348,348.00 | $0.00 | See FINRA Report |
| James William Forsythe | 1038986 | 6 | 12/20/2016 | Customer Dispute | Award / Judgment | $2,000,000.00 | $0.00 | See FINRA Report |
| David Alexander Hertl | 2154822 | 5 | 12/13/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Josette Lee Greechan | 1714280 | 3 | 11/08/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Stoddard Valentine | 707507 | 1 | 10/06/2016 | Customer Dispute | Settled | $45,800.00 | $0.00 | See FINRA Report |