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 |
|---|---|---|---|---|---|---|---|---|
| Harold Loyd Perkins | 851390 | 4 | 12/11/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Brian Ogden | 736453 | 2 | 12/05/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Craig Lyle Platt | 1551026 | 3 | 12/01/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Rick Kaleh | 1611924 | 2 | 11/19/2001 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| James Francis Comerford | 2406078 | 1 | 11/19/2001 | Customer Dispute | Denied | $73,733.00 | $0.00 | See FINRA Report |
| James Allen Montmorency | 1525332 | 1 | 11/15/2001 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Ralph Kevin Crovo | 871247 | 1 | 11/09/2001 | Customer Dispute | Award / Judgment | $1,231,620.00 | $280,000.00 | See FINRA Report |
| Eric Robert Bartok | 2380133 | 5 | 10/17/2001 | Customer Dispute | Award / Judgment | $100,000.00 | $77,262.80 | See FINRA Report |
| Maurice Gordon Stuffmann | 439058 | 3 | 09/26/2001 | Customer Dispute | Settled | $180,079.00 | $0.00 | See FINRA Report |
| Lance Gordon Rounds | 2855963 | 2 | 09/25/2001 | Customer Dispute | Settled | $23,700.00 | $0.00 | See FINRA Report |