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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Charles Edward Roden | 402187 | 2 | 06/17/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Howard Rosenmayer | 2352488 | 23 | 06/03/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Howard Rosenmayer | 2352488 | 23 | 06/02/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew L Wolff | 2202514 | 2 | 05/26/2009 | Customer Dispute | Award / Judgment | $70,000.00 | $62,113.80 | See FINRA Report |
| William Dean Vanech | 1107791 | 5 | 05/20/2009 | Customer Dispute | Settled | $28,981.30 | $0.00 | See FINRA Report |
| Henry Benoit Scheuer | 1608677 | 3 | 05/16/2009 | Customer Dispute | Denied | $12,500.00 | $0.00 | See FINRA Report |
| Stanley Kalman King | 270120 | 7 | 04/30/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |