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 |
|---|---|---|---|---|---|---|---|---|
| Jude Thaddeus Charleston | 1477656 | 6 | 06/24/2011 | Customer Dispute | Settled | $360,000.00 | $0.00 | See FINRA Report |
| Sally Yiping Shi | 4512452 | 2 | 06/17/2011 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Paul Michael Sportelli | 1851708 | 3 | 06/17/2011 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Toby Burrin | 6628595 | 1 | 06/10/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donna Dyke-Bajaj | 74483 | 1 | 06/06/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark William Weinberg | 1373626 | 2 | 05/31/2011 | Customer Dispute | Settled | $9,900,000.00 | $0.00 | See FINRA Report |
| Kenneth Wayne Liddy | 1924764 | 3 | 04/05/2011 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| Maurice Gordon Stuffmann | 439058 | 3 | 03/21/2011 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Joseph Iovino | 1393469 | 7 | 03/17/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Harold Loyd Perkins | 851390 | 4 | 02/14/2011 | Customer Dispute | Settled | $2,200,000.00 | $0.00 | See FINRA Report |