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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Seth Martin | 2410569 | 4 | 04/24/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Donald McPherrin Weller | 5729143 | 2 | 04/08/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven R Baaden | 1266766 | 8 | 03/18/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Raymond Lewis Dinkel | 1800456 | 5 | 03/05/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven R Baaden | 1266766 | 8 | 02/11/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven R Baaden | 1266766 | 8 | 01/31/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Shulman | 1091024 | 5 | 01/24/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| H. Peter Petrosky | 1300861 | 4 | 01/15/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Douglas Levey | 307703 | 2 | 01/02/2013 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Clara I Montanez | 2824403 | 1 | 12/14/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |