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 |
|---|---|---|---|---|---|---|---|---|
| David Alexander Hertl | 2154822 | 5 | 08/10/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 07/23/2015 | Customer Dispute | Settled | $755,000.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 07/22/2015 | Customer Dispute | Settled | $1,850,000.00 | $0.00 | See FINRA Report |
| Gregory Michael Boyle | 1206885 | 2 | 07/14/2015 | Customer Dispute | Denied | $6,219.40 | $0.00 | See FINRA Report |
| Randy Farzin Moshtael | 1036474 | 3 | 07/08/2015 | Customer Dispute | Settled | $470,000.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 06/08/2015 | Customer Dispute | Settled | $302,000.00 | $0.00 | See FINRA Report |
| 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 |