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 |
|---|---|---|---|---|---|---|---|---|
| Christopher John Nicolosi | 2109197 | 4 | 06/08/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy James Shocklee | 2323754 | 2 | 05/30/2012 | Customer Dispute | Award / Judgment | $736,653.00 | $0.00 | See FINRA Report |
| Anthony A Pell | 4510019 | 1 | 05/30/2012 | Customer Dispute | Settled | $42,500.00 | $0.00 | See FINRA Report |
| Kenneth Wayne Liddy | 1924764 | 3 | 05/23/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Raymond Lewis Dinkel | 1800456 | 5 | 05/21/2012 | Customer Dispute | Settled | $15,409.00 | $0.00 | See FINRA Report |
| 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 |