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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Phillip Feichtner | 4140189 | 2 | 09/27/2011 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| John Patrick Keating | 2510363 | 4 | 09/08/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gustavo Santos Miramontes | 2338966 | 13 | 08/29/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Karen Marie Casamento | 3163620 | 1 | 08/23/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Shulman | 1091024 | 5 | 08/19/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Aloysius Nash | 858530 | 2 | 08/16/2011 | Customer Dispute | Denied | $55,000.00 | $0.00 | See FINRA Report |
| Matthew Alan Steinfeld | 1470209 | 2 | 08/11/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jane Smith Okulski | 5656018 | 1 | 08/11/2011 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| John Patrick Keating | 2510363 | 4 | 07/28/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Patrick Kevin McFadden | 718564 | 4 | 07/25/2011 | Customer Dispute | Denied | $45,000.00 | $0.00 | See FINRA Report |