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 |
|---|---|---|---|---|---|---|---|---|
| Michael Howard Rosenmayer | 2352488 | 20 | 07/17/2014 | Customer Dispute | Denied | $283,784.00 | $0.00 | See FINRA Report |
| Alma Ann Nevarez | 2720002 | 2 | 07/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gavin Thomas Natelli | 2218909 | 2 | 06/05/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Charles Marc Shalmi | 1293269 | 9 | 05/28/2014 | Customer Dispute | Denied | $360,000.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 04/30/2014 | Customer Dispute | Settled | $752,053.00 | $0.00 | See FINRA Report |
| Jonathan D'Alton Thibodeaux | 3021566 | 1 | 04/08/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alma Ann Nevarez | 2720002 | 2 | 04/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Charles Hexamer | 1667871 | 1 | 03/31/2014 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Douglas Brkich | 2161443 | 1 | 03/21/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 03/14/2014 | Customer Dispute | Settled | $299,000.00 | $0.00 | See FINRA Report |