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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Michael McCarthy | 1082545 | 1 | 05/17/2018 | Customer Dispute | Settled | $537,923.00 | $0.00 | See FINRA Report |
| Kevin Lyle Daniel | 2631877 | 2 | 05/10/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gail F Perrymason | 1843678 | 8 | 04/27/2018 | Customer Dispute | Settled | $49,398.90 | $0.00 | See FINRA Report |
| Gavin Thomas Natelli | 2218909 | 2 | 03/26/2018 | Customer Dispute | Withdrawn | $238,469.00 | $0.00 | See FINRA Report |
| Jose R Jaunarena Ferrari | 4058515 | 9 | 02/28/2018 | Customer Dispute | Settled | $397,000.00 | $0.00 | See FINRA Report |
| Jane Wasserstrom | 869389 | 2 | 02/27/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| 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 |