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 |
|---|---|---|---|---|---|---|---|---|
| John Howard Kay | 1298675 | 2 | 06/28/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Stella Ma Desantis | 2621705 | 7 | 06/18/2001 | Customer Dispute | Settled | $190,000.00 | $0.00 | See FINRA Report |
| Robert John Murphy | 1226620 | 4 | 06/11/2001 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Gregg William Whelan | 1192743 | 6 | 04/18/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven David Schultz | 1764802 | 1 | 04/16/2001 | Customer Dispute | Denied | $146,668.00 | $0.00 | See FINRA Report |
| John Anthony Meskunas | 1978055 | 2 | 04/13/2001 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Jonathan Phillips Hagenstein | 732400 | 1 | 04/12/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Howard Rosenmayer | 2352488 | 23 | 03/30/2001 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Albert Grinsfelder Lowenthal | 313519 | 1 | 03/26/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy James Shocklee | 2323754 | 2 | 03/23/2001 | Customer Dispute | Settled | $117,692.00 | $0.00 | See FINRA Report |