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 |
|---|---|---|---|---|---|---|---|---|
| Willcox Keith Bailey | 1052935 | 2 | 12/09/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rodney Frederick Nock | 726178 | 1 | 11/29/2022 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Larry Alan Schwartzman | 1289701 | 2 | 10/06/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Wallace McRae Davis | 1532144 | 4 | 09/28/2022 | Customer Dispute | Withdrawn | $92,000.00 | $0.00 | See FINRA Report |
| George W Fellows | 1085138 | 4 | 09/01/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| John B Lawler | 2155307 | 2 | 08/18/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Robert Burke | 815091 | 3 | 08/02/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Raymond Lewis Dinkel | 1800456 | 5 | 07/01/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrew Michienzi | 1540292 | 2 | 05/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Orourke | 1644712 | 2 | 05/24/2022 | Customer Dispute | Denied | $314,002.00 | $0.00 | See FINRA Report |