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FINRA Broker Disclosures for Oppenheimer & Co. Inc.

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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Displaying 411-420 out of 939 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Horacio Gomez-Rabago4437037706/25/2010Customer DisputeDenied$5,000.00$0.00See FINRA Report
Stephen Alan Jaffe1340770806/09/2010RegulatoryFinal$0.00$0.00See FINRA Report
John Joseph Marshall2645278205/18/2010Customer DisputeSettled$628,493.00$0.00See FINRA Report
William John Vlahoulis1039742604/08/2010Employment Separation After Allegations$0.00$0.00See FINRA Report
William Dean Vanech1107791504/06/2010Customer DisputeSettled$0.00$0.00See FINRA Report
Michael Howard Rosenmayer23524882303/29/2010Customer DisputeSettled$221,029.00$0.00See FINRA Report
Mark Allan Hauser1545167103/22/2010Customer DisputeSettled$2,100,000.00$0.00See FINRA Report
Susan L Stephens2400351402/22/2010Customer DisputeSettled$250,000.00$0.00See FINRA Report
Loren Gary Ben815757201/29/2010Customer DisputeAward / Judgment$4,000,000.00$1,112,500.00See FINRA Report
Kenneth Bernard Gold1234570301/27/2010Customer DisputeDenied$0.00$0.00See FINRA Report

939 Results

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