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 |
|---|---|---|---|---|---|---|---|---|
| Cesar Augusto Hurtado | 4137948 | 4 | 09/28/2017 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 09/26/2017 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| David Clyde Pickett | 828986 | 1 | 09/22/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mayra Alejandra Uribe-Quiceno | 5683969 | 1 | 09/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alberto Castaner | 1603341 | 9 | 09/19/2017 | Customer Dispute | Settled | $850,000.00 | $0.00 | See FINRA Report |
| Gail F Perrymason | 1843678 | 8 | 09/05/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Sullivan | 6702191 | 2 | 08/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adam Manna Quarello | 4461542 | 7 | 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 | 4 | 08/23/2017 | Customer Dispute | Settled | $325,000.00 | $0.00 | See FINRA Report |