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 |
|---|---|---|---|---|---|---|---|---|
| Gail F Perrymason | 1843678 | 8 | 04/05/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Jeffrey Weinstein | 2252636 | 4 | 04/05/2004 | Customer Dispute | Award / Judgment | $25,000.00 | $18,221.00 | See FINRA Report |
| Betty Rodriguez | 1859215 | 5 | 03/31/2004 | Customer Dispute | Closed-No Action | $1,000,000.00 | $0.00 | See FINRA Report |
| Michael Howard Rosenmayer | 2352488 | 20 | 03/22/2004 | Customer Dispute | Denied | $25,300.00 | $0.00 | See FINRA Report |
| Duane Clifton Larue | 2275945 | 1 | 03/16/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher John Nicolosi | 2109197 | 4 | 03/09/2004 | Customer Dispute | Settled | $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 |