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 Earl Tipton | 820601 | 4 | 11/05/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Keith Werdesheim | 2351265 | 4 | 11/04/2002 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Jeffrey Lane Werdesheim | 1892046 | 6 | 11/04/2002 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Wallace McRae Davis | 1532144 | 4 | 10/18/2002 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Jason Andrew Betley | 5304097 | 1 | 10/06/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Dean Vanech | 1107791 | 5 | 10/03/2002 | Customer Dispute | Settled | $70,000,000.00 | $0.00 | See FINRA Report |
| Matthew Alan Steinfeld | 1470209 | 4 | 10/02/2002 | Customer Dispute | Award / Judgment | $498,000.00 | $24,432.30 | See FINRA Report |
| Dorian Gonzalez | 2919842 | 2 | 10/01/2002 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| John Rick Kaleh | 1611924 | 2 | 09/27/2002 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| James William Forsythe | 1038986 | 6 | 09/19/2002 | Customer Dispute | Settled | $91,584.00 | $0.00 | See FINRA Report |