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 |
|---|---|---|---|---|---|---|---|---|
| Brett Marcus | 4714890 | 1 | 03/04/2004 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| James William Forsythe | 1038986 | 6 | 02/02/2004 | Customer Dispute | Denied | $205,148.00 | $0.00 | See FINRA Report |
| Michael Edward Doherty | 500784 | 2 | 01/23/2004 | Customer Dispute | Award / Judgment | $482,282.00 | $320,000.00 | See FINRA Report |
| Richard Douglas Levey | 307703 | 2 | 01/21/2004 | Customer Dispute | Settled | $7,130.15 | $0.00 | See FINRA Report |
| Jose R Jaunarena Ferrari | 4058515 | 9 | 12/22/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jose R Jaunarena Ferrari | 4058515 | 9 | 12/06/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Craig Lyle Platt | 1551026 | 3 | 11/19/2003 | Customer Dispute | Settled | $5,800,000.00 | $0.00 | See FINRA Report |
| Eric A Keller | 2482337 | 2 | 10/28/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kevin Monaco | 2119652 | 4 | 10/13/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen J Heil | 1949965 | 1 | 10/07/2003 | Customer Dispute | Award / Judgment | $388,539.00 | $131,000.00 | See FINRA Report |