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 |
|---|---|---|---|---|---|---|---|---|
| Robert David Williams | 826960 | 5 | 12/17/2003 | Customer Dispute | Settled | $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 | 3 | 10/13/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patricia M Scherer | 2568070 | 1 | 10/09/2003 | Customer Dispute | Settled | $3,078.94 | $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 |
| Robert David Williams | 826960 | 5 | 08/19/2003 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| 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 |