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 |
|---|---|---|---|---|---|---|---|---|
| Robert Paul Fantozzi | 2479746 | 2 | 01/18/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Kenneth Louderbaugh | 1282165 | 2 | 01/08/2002 | Customer Dispute | Denied | $35,699.30 | $0.00 | See FINRA Report |
| Mark Allen Frommer | 1553129 | 6 | 12/16/2001 | Customer Dispute | Denied | $5,001.00 | $0.00 | See FINRA Report |
| Harold Loyd Perkins | 851390 | 4 | 12/11/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Patrick Harrington | 237655 | 6 | 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 |
| James Francis Comerford | 2406078 | 1 | 11/19/2001 | Customer Dispute | Denied | $73,733.00 | $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 Allen Montmorency | 1525332 | 1 | 11/15/2001 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |