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 | 02/24/2003 | Customer Dispute | Settled | $310,127.00 | $0.00 | See FINRA Report |
| Alexander Lanzman | 2878438 | 2 | 02/17/2003 | Customer Dispute | Withdrawn | $37,000.00 | $0.00 | See FINRA Report |
| Alexander Morgan Smith | 5993824 | 1 | 02/01/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alberto Ottaviani | 2918377 | 2 | 01/22/2003 | Customer Dispute | Settled | $387,232.00 | $0.00 | See FINRA Report |
| Roman Feagins Reed | 2936933 | 3 | 12/30/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Roman Feagins Reed | 2936933 | 3 | 12/17/2002 | Customer Dispute | Settled | $243,000.00 | $0.00 | See FINRA Report |
| Joseph Iovino | 1393469 | 7 | 12/10/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mitchell Todd Edenbaum | 2485651 | 2 | 12/04/2002 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Stella Ma Desantis | 2621705 | 7 | 11/14/2002 | Customer Dispute | Settled | $93,588.00 | $0.00 | See FINRA Report |
| Lawrence Harold David | 1739405 | 4 | 11/13/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |