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 |
|---|---|---|---|---|---|---|---|---|
| Mitchell Todd Edenbaum | 2485651 | 2 | 05/11/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Paul Rembalsky | 2185734 | 5 | 04/13/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Howard Rosenmayer | 2352488 | 23 | 04/04/2005 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Paul Michael Sportelli | 1851708 | 3 | 04/01/2005 | Customer Dispute | Settled | $20,900,000.00 | $0.00 | See FINRA Report |
| George Hillyer Connerat | 1163686 | 2 | 03/23/2005 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Karl Peter Rozak | 2239418 | 1 | 03/09/2005 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Phillip Walker Sprague | 1012467 | 2 | 12/29/2004 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Thomas Howard Tate | 1094496 | 5 | 12/22/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Larry Alan Schwartzman | 1289701 | 2 | 11/29/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Michael Glynn | 1072743 | 1 | 11/12/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |