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 |
|---|---|---|---|---|---|---|---|---|
| Sanford Alan Haber | 2164396 | 3 | 04/09/2008 | Customer Dispute | Closed-No Action | $33,500,000.00 | $0.00 | See FINRA Report |
| Darryl Jadwick Lynch | 1313519 | 3 | 04/08/2008 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Walter Alan Cooper | 1161357 | 4 | 04/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Martin Lewis Waldman | 4566228 | 8 | 03/12/2008 | Customer Dispute | Closed-No Action | $1,000,000.00 | $0.00 | See FINRA Report |
| Steven Aron Weil | 1365001 | 1 | 03/05/2008 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Bryan Joseph Carroll | 2920858 | 1 | 02/29/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Pierre Anthony Fistanic | 1542297 | 1 | 01/31/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Eugene Butcher | 4352193 | 1 | 01/31/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin Charles Willett | 1989149 | 1 | 01/18/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Matthew Brian Cohen | 2180477 | 4 | 01/11/2008 | Customer Dispute | Settled | $31,000.00 | $0.00 | See FINRA Report |