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 |
|---|---|---|---|---|---|---|---|---|
| Gustavo Santos Miramontes | 2338966 | 13 | 10/04/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Josette Lee Greechan | 1714280 | 3 | 09/29/2016 | Customer Dispute | Denied | $900,000.00 | $0.00 | See FINRA Report |
| George Alvin Hiss | 246890 | 1 | 09/20/2016 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| James Francis Lowe | 1048806 | 2 | 09/14/2016 | Customer Dispute | Settled | $107,405.00 | $0.00 | See FINRA Report |
| Kathleen Courtney Saia | 2641748 | 1 | 08/22/2016 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Michael Christopher Dickstein | 5458365 | 4 | 08/17/2016 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| Martin Lewis Waldman | 4566228 | 8 | 08/15/2016 | Customer Dispute | Closed-No Action | $121,308.00 | $0.00 | See FINRA Report |
| Velvet Lillette Groves | 2921105 | 1 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adam Manna Quarello | 4461542 | 6 | 07/26/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Fred Ben Seid | 2543821 | 1 | 06/09/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |