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 John Pallitto | 4334247 | 1 | 01/07/2014 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Stanley Kalman King | 270120 | 7 | 01/06/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jan A Galvez | 5289378 | 1 | 01/06/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Morton S Tinkelman | 447182 | 2 | 12/06/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gary Richard Gross | 1498914 | 1 | 12/05/2013 | Customer Dispute | Denied | $70,373.80 | $0.00 | See FINRA Report |
| Stanley Kalman King | 270120 | 7 | 11/15/2013 | Customer Dispute | Denied | $20,884.00 | $0.00 | See FINRA Report |
| Everette Maurice Hardee | 844702 | 5 | 11/15/2013 | Customer Dispute | Settled | $5,500.00 | $0.00 | See FINRA Report |
| Diana Libuano Ruhtenberg | 1671444 | 3 | 10/21/2013 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| David Howard Jarrell | 5265165 | 4 | 10/21/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rocco John Petito | 2513997 | 1 | 09/24/2013 | Investigation | $0.00 | $0.00 | See FINRA Report |