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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Martin Lewis Waldman | 4566228 | 8 | 04/25/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eric Brian Rosenberg | 1027041 | 6 | 04/05/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Eric Zuckerman | 1684211 | 1 | 03/03/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Robert Gauster | 2416301 | 6 | 03/03/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Loren Gary Ben | 815757 | 2 | 03/03/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lawrence Robert Yerkees | 1283322 | 1 | 02/23/2016 | Customer Dispute | Award / Judgment | $55,000.00 | $23,650.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 02/18/2016 | Customer Dispute | Settled | $192,130.00 | $0.00 | See FINRA Report |