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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Seth Martin | 2410569 | 4 | 12/21/2006 | Customer Dispute | Award / Judgment | $450,000.00 | $236,394.00 | See FINRA Report |
| Jude Thaddeus Charleston | 1477656 | 6 | 11/06/2006 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Robert John Murphy | 1226620 | 4 | 10/18/2006 | Customer Dispute | Denied | $130,000.00 | $0.00 | See FINRA Report |
| Charles Marc Shalmi | 1293269 | 9 | 10/18/2006 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Eric Serfaty | 4087108 | 4 | 07/17/2006 | Customer Dispute | Settled | $72,412.50 | $0.00 | See FINRA Report |
| Sayke Robert Reilley | 2814096 | 3 | 07/17/2006 | Customer Dispute | Settled | $9,075.00 | $0.00 | See FINRA Report |
| Eric Serfaty | 4087108 | 4 | 06/23/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Patrick Popp | 717221 | 6 | 06/22/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lawrence Edward Rice | 375302 | 4 | 06/21/2006 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Alexandra Alexis Anthony | 1747868 | 1 | 06/07/2006 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |