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 |
|---|---|---|---|---|---|---|---|---|
| Luis A Garcia | 4143376 | 1 | 01/27/2022 | Customer Dispute | Denied | $74,000.00 | $0.00 | See FINRA Report |
| Eddy Joseph Gutierrez | 2247435 | 2 | 01/18/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anita Marie Daguilar | 1726303 | 3 | 01/03/2022 | Customer Dispute | Denied | $44,089.00 | $0.00 | See FINRA Report |
| Gustavo Santos Miramontes | 2338966 | 13 | 12/20/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gustavo Santos Miramontes | 2338966 | 13 | 12/19/2021 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Gustavo Santos Miramontes | 2338966 | 13 | 12/16/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gustavo Santos Miramontes | 2338966 | 13 | 12/16/2021 | Customer Dispute | Settled | $25,739.40 | $0.00 | See FINRA Report |
| David Howard Jarrell | 5265165 | 4 | 12/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Donna Marie Madeley | 2266624 | 1 | 12/07/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Allen Frommer | 1553129 | 6 | 12/03/2021 | Customer Dispute | Pending | $700,000.00 | $0.00 | See FINRA Report |