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 |
|---|---|---|---|---|---|---|---|---|
| Michael Howard Rosenmayer | 2352488 | 20 | 12/17/2009 | Customer Dispute | Settled | $5,450,000.00 | $0.00 | See FINRA Report |
| David Jonathon Feigeles | 1530561 | 2 | 12/15/2009 | Customer Dispute | Settled | $6,000,000.00 | $0.00 | See FINRA Report |
| William MacKnight Pomeroy | 1173681 | 2 | 12/08/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stanley Kalman King | 270120 | 7 | 11/16/2009 | Customer Dispute | Settled | $234,491.00 | $0.00 | See FINRA Report |
| John Brian Ogden | 736453 | 2 | 11/16/2009 | Customer Dispute | Settled | $28,305.00 | $0.00 | See FINRA Report |
| Roman Feagins Reed | 2936933 | 3 | 11/16/2009 | Customer Dispute | Settled | $1,318,840.00 | $0.00 | See FINRA Report |
| Peter Henry Wagner | 1003080 | 5 | 11/02/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kevin Michael Broderick | 1203573 | 1 | 10/27/2009 | Customer Dispute | Denied | $286,741.00 | $0.00 | See FINRA Report |
| Joseph Iovino | 1393469 | 7 | 10/21/2009 | Customer Dispute | Settled | $96,950.00 | $0.00 | See FINRA Report |
| Susan L Stephens | 2400351 | 4 | 10/20/2009 | Customer Dispute | Settled | $114,414.00 | $0.00 | See FINRA Report |