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 |
|---|---|---|---|---|---|---|---|---|
| David Alexander Hertl | 2154822 | 5 | 08/13/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George M Schwartz | 1454567 | 2 | 08/07/2003 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Offer Ben Tidhar | 2011372 | 1 | 07/14/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ralph Edward Primavera | 367913 | 2 | 06/20/2003 | Customer Dispute | Settled | $188,700.00 | $0.00 | See FINRA Report |
| Patrick James Hudec | 1534203 | 3 | 06/11/2003 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Eric Robert Gauster | 2416301 | 6 | 06/10/2003 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Owen Bruce Rosenblum | 1251823 | 2 | 06/05/2003 | Customer Dispute | Settled | $1,874,250.00 | $0.00 | See FINRA Report |
| David Alexander Hertl | 2154822 | 5 | 06/03/2003 | Customer Dispute | Settled | $42,276.00 | $0.00 | See FINRA Report |
| Paul David Babaz | 2373008 | 4 | 05/20/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Howard Tate | 1094496 | 5 | 05/20/2003 | Customer Dispute | Denied | $179,000.00 | $0.00 | See FINRA Report |