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 |
|---|---|---|---|---|---|---|---|---|
| Peter James Muldowney | 2164998 | 3 | 08/14/2009 | Customer Dispute | Settled | $87,537,200.00 | $0.00 | See FINRA Report |
| Diana Libuano Ruhtenberg | 1671444 | 3 | 08/14/2009 | Customer Dispute | Closed-No Action | $360,000.00 | $0.00 | See FINRA Report |
| Feng Shen | 4445432 | 2 | 08/06/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shakiba Tyshell Stephens | 2677413 | 3 | 08/03/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Fred Berens | 18877 | 7 | 07/31/2009 | Customer Dispute | Settled | $7,000,000.00 | $0.00 | See FINRA Report |
| Victor Manuel Barrionuevo | 2794713 | 1 | 07/15/2009 | Customer Dispute | Settled | $1,131,840.00 | $0.00 | See FINRA Report |
| Stephen John Seremetis | 2526087 | 1 | 07/01/2009 | Customer Dispute | Settled | $150,958.00 | $0.00 | See FINRA Report |
| Deborah Ann Fantini-Martinez | 1575761 | 1 | 07/01/2009 | Customer Dispute | Settled | $150,958.00 | $0.00 | See FINRA Report |
| James Alan Math | 1815937 | 3 | 06/30/2009 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Charles Edward Roden | 402187 | 2 | 06/17/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |