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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Horacio Gomez-Rabago | 4437037 | 7 | 06/25/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Anthony Paul Monforton | 862787 | 1 | 06/21/2010 | Customer Dispute | Pending | $2,135,910.00 | $0.00 | See FINRA Report |
| Stephen Alan Jaffe | 1340770 | 8 | 06/09/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Joseph Marshall | 2645278 | 2 | 05/18/2010 | Customer Dispute | Settled | $628,493.00 | $0.00 | See FINRA Report |
| William John Vlahoulis | 1039742 | 6 | 04/08/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Dean Vanech | 1107791 | 5 | 04/06/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Howard Rosenmayer | 2352488 | 20 | 03/29/2010 | Customer Dispute | Settled | $221,029.00 | $0.00 | See FINRA Report |
| Mark Allan Hauser | 1545167 | 1 | 03/22/2010 | Customer Dispute | Settled | $2,100,000.00 | $0.00 | See FINRA Report |
| Susan L Stephens | 2400351 | 4 | 02/22/2010 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Stuart Hamilton Whitlock | 465725 | 3 | 02/04/2010 | Customer Dispute | Denied | $190,000.00 | $0.00 | See FINRA Report |