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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| 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 | 3 | 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 |