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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Omri Amit | 5799870 | 1 | 01/16/2012 | Customer Dispute | Denied | $188,097.00 | $0.00 | See FINRA Report |
| Kenneth Wayne Liddy | 1924764 | 3 | 01/05/2012 | Customer Dispute | Denied | $103,400.00 | $0.00 | See FINRA Report |
| Anita Marie Daguilar | 1726303 | 3 | 01/03/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Raymond Reynolds | 1639111 | 1 | 12/28/2011 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| Alberto Castaner | 1603341 | 9 | 11/29/2011 | Customer Dispute | Settled | $315,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Ridge | 2448452 | 1 | 11/28/2011 | Customer Dispute | Denied | $93,600.00 | $0.00 | See FINRA Report |
| Henry Benoit Scheuer | 1608677 | 3 | 10/10/2011 | Customer Dispute | Denied | $9,663.00 | $0.00 | See FINRA Report |