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 |
|---|---|---|---|---|---|---|---|---|
| Jack Meyer Zahl | 2533940 | 2 | 06/07/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jay Martin Spieler | 1072642 | 1 | 05/29/2015 | Customer Dispute | Award / Judgment | $325,850.00 | $0.00 | See FINRA Report |
| Seldon Taylor Clarke | 728040 | 2 | 04/13/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Alan Kirby | 2206886 | 1 | 03/24/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| George W Fellows | 1085138 | 4 | 03/17/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 03/13/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dean Andrew Bahniuk | 2418525 | 3 | 02/20/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Phillip Walker Sprague | 1012467 | 2 | 02/09/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Christopher Dickstein | 5458365 | 4 | 02/06/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Patrick Popp | 717221 | 6 | 12/28/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |