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 |
|---|---|---|---|---|---|---|---|---|
| William Tyler Irwin | 6629051 | 1 | 05/09/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Terance Richard Bertrand | 4681745 | 1 | 04/30/2012 | Customer Dispute | Settled | $144,000.00 | $0.00 | See FINRA Report |
| Kevin Craig Salk | 1595150 | 2 | 03/23/2012 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Susan Regina Mitchell | 734643 | 1 | 03/19/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew T Denkler | 6507778 | 1 | 03/16/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric Robert Gauster | 2416301 | 6 | 03/12/2012 | Customer Dispute | Award / Judgment | $169,812.00 | $451,760.00 | See FINRA Report |
| Walter Alan Cooper | 1161357 | 4 | 03/09/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sally Yiping Shi | 4512452 | 2 | 03/02/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jared D Weinryt | 5186448 | 1 | 02/28/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Omri Amit | 5799870 | 1 | 01/16/2012 | Customer Dispute | Denied | $188,097.00 | $0.00 | See FINRA Report |