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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Alan Jaffe | 1340770 | 8 | 10/26/2010 | Customer Dispute | Settled | $83,000.00 | $0.00 | See FINRA Report |
| Dean McPherson Smith | 1710830 | 1 | 09/27/2010 | Customer Dispute | Award / Judgment | $160,000.00 | $54,123.40 | See FINRA Report |
| Daniel Stuart Heller | 2303462 | 1 | 09/20/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brett Robert Marcus | 2389225 | 1 | 09/20/2010 | Customer Dispute | Settled | $50,821.90 | $0.00 | See FINRA Report |
| William Dean Vanech | 1107791 | 5 | 08/13/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dorian Gonzalez | 2919842 | 2 | 07/29/2010 | Customer Dispute | Settled | $125,244.00 | $0.00 | See FINRA Report |
| Jorge Issac Montealegre | 1799139 | 6 | 07/13/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jorge Issac Montealegre | 1799139 | 6 | 07/13/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Alan Jaffe | 1340770 | 8 | 07/07/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Brian Cohen | 2180477 | 4 | 06/28/2010 | Customer Dispute | Denied | $8,075.00 | $0.00 | See FINRA Report |