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 |
|---|---|---|---|---|---|---|---|---|
| William MacKnight Pomeroy | 1173681 | 2 | 10/11/2007 | Customer Dispute | Closed-No Action | $7,500.00 | $0.00 | See FINRA Report |
| Lance Gordon Rounds | 2855963 | 2 | 10/01/2007 | Customer Dispute | Denied | $28,229.00 | $0.00 | See FINRA Report |
| Robert Bruce Hord | 830170 | 3 | 10/01/2007 | Customer Dispute | Denied | $28,229.00 | $0.00 | See FINRA Report |
| Kevin Patrick Murphy | 1384403 | 2 | 09/17/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jorge Issac Montealegre | 1799139 | 6 | 09/14/2007 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Jorge Issac Montealegre | 1799139 | 6 | 08/22/2007 | Customer Dispute | Denied | $42,490.40 | $0.00 | See FINRA Report |
| Jorge Issac Montealegre | 1799139 | 6 | 08/20/2007 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| David Howard Jarrell | 5265165 | 4 | 08/16/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jorge Issac Montealegre | 1799139 | 6 | 08/12/2007 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Ronald William Fox | 1219273 | 11 | 08/06/2007 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |