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 |
|---|---|---|---|---|---|---|---|---|
| Jose R Jaunarena Ferrari | 4058515 | 9 | 12/26/2014 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| David Earl Tipton | 820601 | 4 | 12/09/2014 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Martin Lewis Waldman | 4566228 | 8 | 12/01/2014 | Customer Dispute | Denied | $31,101.00 | $0.00 | See FINRA Report |
| Michael J Squellati | 2720722 | 5 | 12/01/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Herbert Spencer Thornton | 1218939 | 3 | 11/27/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hiram Antonio Cortes | 3213587 | 2 | 11/21/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Hiram Antonio Cortes | 3213587 | 2 | 11/17/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Brian Schaum | 1099016 | 5 | 10/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eugene Gray Smith | 835321 | 1 | 10/15/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Gironta | 1814837 | 1 | 10/08/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |