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 |
|---|---|---|---|---|---|---|---|---|
| Steven R Baaden | 1266766 | 9 | 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 | |
| Raymond Lewis Dinkel | 1800456 | 5 | 12/11/2012 | Customer Dispute | Settled | $46,197.80 | $0.00 | See FINRA Report |
| James William Forsythe | 1038986 | 6 | 11/26/2012 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Anthony Joseph Manougian | 2293270 | 3 | 11/26/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Henry Benoit Scheuer | 1608677 | 3 | 11/14/2012 | Customer Dispute | Settled | $325,000.00 | $0.00 | See FINRA Report |
| Owen Bruce Rosenblum | 1251823 | 2 | 11/09/2012 | Customer Dispute | Settled | $176,000.00 | $0.00 | See FINRA Report |