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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Alan Jaffe | 1340770 | 8 | 04/30/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sean C Sill | 1960536 | 5 | 04/28/2009 | Customer Dispute | Denied | $686,415.00 | $0.00 | See FINRA Report |
| Daniel Joseph Odell | 2284725 | 3 | 04/27/2009 | Customer Dispute | Denied | $5,356.00 | $0.00 | See FINRA Report |
| Stanley Kalman King | 270120 | 7 | 04/27/2009 | Customer Dispute | Denied | $33,855.00 | $0.00 | See FINRA Report |
| Ted Ross Emerson | 3180266 | 1 | 04/20/2009 | Customer Dispute | Denied | $49,581.30 | $0.00 | See FINRA Report |
| Derek Scott Radulski | 2647503 | 1 | 04/13/2009 | Customer Dispute | Settled | $6,491.60 | $0.00 | See FINRA Report |
| Feng Shen | 4445432 | 2 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lawrence Harold David | 1739405 | 4 | 03/31/2009 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Francis Joseph Pisano | 2446817 | 1 | 03/31/2009 | Customer Dispute | Denied | $10,133.00 | $0.00 | See FINRA Report |
| Marvin Ira Wigutow | 2671206 | 1 | 03/30/2009 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |