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 |
|---|---|---|---|---|---|---|---|---|
| Bill Michael Friedrich | 3208059 | 7 | 02/09/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Rolando Mercado | 2492771 | 1 | 01/26/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Sablowsky | 408620 | 1 | 01/25/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Austin Whitney Verity | 2180858 | 2 | 01/18/2016 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| George Thomas Ebenhack | 75024 | 1 | 01/11/2016 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 11/09/2015 | Customer Dispute | Settled | $53,786.80 | $0.00 | See FINRA Report |
| Eric A Keller | 2482337 | 2 | 10/15/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Philllips | 4560689 | 1 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 08/27/2015 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Martin Lewis Waldman | 4566228 | 8 | 08/11/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |