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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| 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 |
| Betty Rodriguez | 1859215 | 5 | 10/06/2014 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Alberto Castaner | 1603341 | 9 | 10/03/2014 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| William John Vlahoulis | 1039742 | 6 | 09/08/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul David Babaz | 2373008 | 4 | 09/02/2014 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 08/27/2014 | Customer Dispute | Settled | $1,074,000.00 | $0.00 | See FINRA Report |
| Alice Beth Leopold-Benintendi | 1547235 | 2 | 08/20/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |