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 |
|---|---|---|---|---|---|---|---|---|
| Steven Benny Restifo | 1708245 | 1 | 06/01/2016 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Johannes Stahlie | 2951371 | 1 | 05/31/2016 | Customer Dispute | Denied | $32,000.00 | $0.00 | See FINRA Report |
| Betty Rodriguez | 1859215 | 5 | 05/27/2016 | Customer Dispute | Denied | $6,268.90 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 05/20/2016 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| Marc Nathan Leibowitz | 2838503 | 1 | 05/17/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John D Coombs | 1264907 | 3 | 05/17/2016 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Michael Howard Rosenmayer | 2352488 | 20 | 05/16/2016 | Customer Dispute | Settled | $430,000.00 | $0.00 | See FINRA Report |
| Ananth Muniyappa | 5307650 | 1 | 05/04/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Marc Damon Petrognani | 2866126 | 1 | 04/28/2016 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Patrick James Hudec | 1534203 | 3 | 04/27/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |