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 |
|---|---|---|---|---|---|---|---|---|
| Cynthia Dawn Newman | 863026 | 1 | 03/20/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Serfaty | 4087108 | 4 | 02/14/2006 | Customer Dispute | Settled | $439,069.00 | $0.00 | See FINRA Report |
| Michael Howard Rosenmayer | 2352488 | 20 | 02/01/2006 | Customer Dispute | Denied | $52,416.00 | $0.00 | See FINRA Report |
| Robert David Williams | 826960 | 5 | 12/28/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William John Vlahoulis | 1039742 | 6 | 12/19/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Robert Bartok | 2380133 | 5 | 11/14/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey David Clark | 1893501 | 3 | 11/10/2005 | Customer Dispute | Settled | $7,557.47 | $0.00 | See FINRA Report |
| Charles Marc Shalmi | 1293269 | 9 | 11/04/2005 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Ronald William Fox | 1219273 | 11 | 10/30/2005 | Customer Dispute | Settled | $4,000,000.00 | $0.00 | See FINRA Report |
| Peter James Muldowney | 2164998 | 3 | 10/10/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |