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 |
|---|---|---|---|---|---|---|---|---|
| Randy Farzin Moshtael | 1036474 | 3 | 09/06/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Serafin Paed Aquino | 1603285 | 4 | 09/03/2002 | Customer Dispute | Award / Judgment | $321,000.00 | $15,500.00 | See FINRA Report |
| Batia Praizner | 1860379 | 1 | 09/01/2002 | Customer Dispute | Settled | $650,000.00 | $0.00 | See FINRA Report |
| Gregg William Whelan | 1192743 | 6 | 08/23/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerald Jay Hymen | 1379370 | 6 | 08/22/2002 | Customer Dispute | Denied | $400,000.00 | $0.00 | See FINRA Report |
| James Hugh Williams | 717858 | 1 | 08/20/2002 | Customer Dispute | Denied | $27,547.00 | $0.00 | See FINRA Report |
| John Berton Teetsel | 1196884 | 1 | 08/16/2002 | Customer Dispute | Settled | $246,892.00 | $0.00 | See FINRA Report |
| Herbert Spencer Thornton | 1218939 | 3 | 08/08/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Harold Loyd Perkins | 851390 | 4 | 08/05/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony Joseph Manougian | 2293270 | 3 | 08/01/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |