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 |
|---|---|---|---|---|---|---|---|---|
| Louis Aloysius Conyard | 1352456 | 2 | 05/05/2006 | Customer Dispute | Settled | $93,000.00 | $0.00 | See FINRA Report |
| John Howard Kay | 1298675 | 2 | 04/28/2006 | Customer Dispute | Denied | $5,660.00 | $0.00 | See FINRA Report |
| Eric Serfaty | 4087108 | 4 | 04/24/2006 | Customer Dispute | Settled | $189,408.00 | $0.00 | See FINRA Report |
| Charles Marc Shalmi | 1293269 | 9 | 04/18/2006 | Customer Dispute | Denied | $15,026.00 | $0.00 | See FINRA Report |
| Frederick Spitzer Brown | 1610416 | 2 | 04/13/2006 | Customer Dispute | Settled | $7,705.18 | $0.00 | See FINRA Report |
| Mitchell Lynne Everitt | 1501262 | 1 | 03/31/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Padula | 6056709 | 1 | 03/27/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric Robert Gauster | 2416301 | 6 | 03/24/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Charles Marc Shalmi | 1293269 | 9 | 03/23/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Joseph Odell | 2284725 | 3 | 03/23/2006 | Customer Dispute | Denied | $9,920.52 | $0.00 | See FINRA Report |