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 |
|---|---|---|---|---|---|---|---|---|
| Eric Brian Rosenberg | 1027041 | 6 | 08/30/2013 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Scott Alan Turcott | 3123428 | 3 | 08/20/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Charles Turcott | 1929451 | 2 | 08/20/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Henry Wagner | 1003080 | 5 | 08/07/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Christopher Dickstein | 5458365 | 4 | 07/07/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Peter Wallace | 2232489 | 1 | 06/27/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stella Ma Desantis | 2621705 | 7 | 06/04/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Aloysius Nash | 858530 | 2 | 05/24/2013 | Customer Dispute | Settled | $383,183.00 | $0.00 | See FINRA Report |
| Eric Brian Rosenberg | 1027041 | 6 | 05/10/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Donald Sayers | 1137566 | 1 | 05/08/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |