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 |
|---|---|---|---|---|---|---|---|---|
| Charles Marc Shalmi | 1293269 | 9 | 08/03/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hollis Lynn Herman | 1329982 | 1 | 06/29/2004 | Customer Dispute | Denied | $11,160.00 | $0.00 | See FINRA Report |
| Eric David Gartland | 2134085 | 1 | 06/21/2004 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Peter Paul Rembalsky | 2185734 | 5 | 06/21/2004 | Customer Dispute | Settled | $354,000.00 | $0.00 | See FINRA Report |
| Elliot Fine | 1398447 | 9 | 06/11/2004 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Michael Howard Rosenmayer | 2352488 | 20 | 05/28/2004 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Steven Michael Keesal | 5359696 | 2 | 05/04/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Janemarie I Lenihan | 1642458 | 1 | 04/26/2004 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Gregory Grant Huston | 253963 | 3 | 04/19/2004 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| David Howard Lazarus | 1111946 | 1 | 04/19/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |