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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Lane Werdesheim | 1892046 | 6 | 02/25/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Keith Werdesheim | 2351265 | 3 | 02/25/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stanley Kalman King | 270120 | 7 | 02/21/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fred Berens | 18877 | 7 | 02/12/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stanley Kalman King | 270120 | 7 | 01/23/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Luis Alberto Rosario | 4593449 | 21 | 01/21/2014 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Robert Paul Fantozzi | 2479746 | 2 | 01/16/2014 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Seldon Taylor Clarke | 728040 | 2 | 01/14/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Luis Alberto Rosario | 4593449 | 21 | 01/10/2014 | Customer Dispute | Settled | $5,200,000.00 | $0.00 | See FINRA Report |
| Paul David Babaz | 2373008 | 4 | 01/09/2014 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |