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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Alexander Joseph | 1049825 | 1 | 11/05/2004 | Customer Dispute | Denied | $267,458.00 | $0.00 | See FINRA Report |
| Galen John Greiner | 1108651 | 1 | 11/03/2004 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Michael Jeffrey Weinstein | 2252636 | 4 | 11/01/2004 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| David Robert Burke | 815091 | 3 | 10/27/2004 | Customer Dispute | Denied | $50,160.00 | $0.00 | See FINRA Report |
| Leonard Joseph Silvester | 2196632 | 4 | 10/22/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert J Daries | 2384902 | 2 | 08/23/2004 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Jorge Alejandro Hollander | 3075321 | 2 | 08/17/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |