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 |
|---|---|---|---|---|---|---|---|---|
| Lawrence Harkavy | 2218203 | 1 | 01/15/2021 | Customer Dispute | Settled | $24,380.00 | $0.00 | See FINRA Report |
| Ivan Shore | 1012943 | 1 | 11/06/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leonard Joseph Silvester | 2196632 | 4 | 11/05/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Arthur Allen | 2287824 | 3 | 10/13/2020 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Scott Alan Turcott | 3123428 | 3 | 10/06/2020 | Customer Dispute | Denied | $100,914.00 | $0.00 | See FINRA Report |
| James Sander Ries | 861845 | 1 | 10/06/2020 | Customer Dispute | Denied | $100,914.00 | $0.00 | See FINRA Report |
| Michael Christopher Dickstein | 5458365 | 4 | 09/16/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Horacio Gomez-Rabago | 4437037 | 7 | 08/11/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Allen Frommer | 1553129 | 6 | 07/07/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Susan L Stephens | 2400351 | 4 | 07/07/2020 | Customer Dispute | Denied | $400,000.00 | $0.00 | See FINRA Report |